Responsibilities
- Lead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations across assigned securities or regulated compliance functions.
- Evaluate complex business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify significant risks, trends, and control gaps.
- Guide interpretation of applicable laws, regulations, regulatory guidance, firm policies, and procedures and advise stakeholders on practical application.
- Lead complex AML reviews, including transaction monitoring, exception reporting, investigations, escalations, and assessment of trends, potential suspicious activity, compliance risks, and related program or control enhancements.
- Lead or coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests.
- Evaluate findings, root causes, corrective action plans, recurring issues, and remediation strategies to support sustainable control improvements.
- Serve as an AML subject matter resource to business partners, compliance stakeholders, and management on complex AML requirements, financial-crime risks, and practical application.
- Influence AML remediation strategy, control design, policy updates, training, tools, procedures, and implementation decisions to strengthen compliance outcomes.
- Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, or enterprise initiatives.
- Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing to team members and business partners.
Qualifications
- Bachelor’s degree in business, legal studies, risk management, compliance or related field.
- 7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
- 4+ years of experience supporting AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
- FINRA Series 7 and 24 or 6 and 26 (dependent on broker-dealer activities); or obtain within 6 months of job entry date
- Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, related compliance controls
- Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiatives
- Experience leading AML supervisory controls, testing, monitoring, or issue remediation
- Advanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision-making
- Ability to work with significant independence and judgment while determining approach for complex work
- Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness
Preferred Qualifications
- FINRA Series 65 or 66 (dependent on investment advisor support), or other FINRA registrations based on assigned responsibilities.
- CAMS, CFCS, or another relevant AML of financial-crime compliance certification.
Working Conditions:
- Office environment - Hybrid (Tuesday, Wednesday, Thursday in office)
- Locations: Philadelphia and Cedar Rapids
Compensation
The Salary for this position generally ranges between $95,000-105,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.
- May require occasional travel for team meetings, training, regulatory matters, or business partner support.