Director, AML

Responsibilities

• Lead the implementation and continuous improvement of AML policies, procedures, and controls in response to regulatory changes and evolving typologies.
• Conduct and oversee periodic and event-driven KYC refresh reviews, ensuring documentation is accurate, complete, and maintained according to regulatory and internal requirements.
• Review and disposition complex ongoing monitoring alerts, including sanctions, PEP, and adverse media alerts; escalate matters requiring EDD or further investigation.
• Own and lead complex EDD reviews.
• Conduct SAR investigations and contribute to SAR filing decisions, including drafting and reviewing SAR narratives.
• Partner with onboarding, technology, and operations teams to improve AML workflows.
• Advise business lines on AML-related questions and provide guidance on customer risk classification and program requirements.
• Coordinate AML audit requests and assist in preparing responses and supporting documentation.
• Monitor regulatory developments and emerging AML typologies and assess their impact on the firm's AML program.
• Assist in training and mentoring junior AML staff.

Requirements

• Bachelor's degree required; an advanced degree or JD is a plus.
• 7–10 years of AML compliance, AML audit, or financial crimes experience at a broker-dealer or other regulated financial institution.
• Strong knowledge of BSA/AML, KYC, CIP, CDD, EDD, OFAC, and FinCEN requirements as applied to broker-dealer and FCM businesses.
• Demonstrated knowledge of SAR investigations and reporting requirements.
• Experience with institutional client onboarding, including financial institutions, funds, and other complex legal entities.
• Proficiency with onboarding platforms and screening tools such as World-Check, CLEAR, or equivalent.
• Exceptional analytical, organizational, written, and verbal communication skills.
• Ability to work independently on complex matters and manage multiple priorities in a fast-paced environment.

Compensation & Benefits

• Base salary range: $160,000–$215,000.
• Competitive compensation packages, company equity, 401(k) matching, gender-neutral parental leave, and full medical, dental, and vision insurance.
• Employees are required to work in the office 4 days per week.
• In-office benefits include lunch stipends, fully stocked kitchens, happy hours, and a central office location.