# AML Compliance Officer

**Company:** [tastytrade](https://hotfix.jobs/companies/tastytrade)
**Location:** Chicago, IL
**Role:** Other
**Salary:** $120k – $180k/yr
**Experience:** 7+ years
**Skills:** aml compliance, kyc, cdd, edd, ofac, sanctions, bsa, finra, cftc, nfa, series 3, series 7, series 24, series 63, cams
**Posted:** 2026-07-29

> Serve as the AML Compliance Officer for a financial services firm, developing AML policies, conducting risk assessments and investigations, overseeing surveillance programs, and acting as the primary regulatory contact for broker-dealer, futures, and crypto products. Requires extensive AML experience in financial services, specific licenses, and strong investigative skills.

## Job Description

## What You’ll Do

- Develop, implement, and maintain comprehensive AML policies, procedures, and controls that align with regulatory requirements (FINRA, SEC, CFTC, and NFA) and industry best practices.
- Conduct regular AML risk assessments to identify and mitigate potential AML/Sanctions risks associated with products, services, and customer base.
- Act as the primary point of contact for regulatory authorities, auditors, and law enforcement requests, managing all inquiries, examinations, and reporting obligations related to AML compliance.
- Provide oversight and guidance over the enterprise compliance function.
- Establish and maintain relationships with industry peers, partners, and regulators to foster a collaborative approach to compliance.
- Conduct thorough investigations into flagged transactions or activities, collaborating with internal teams such as compliance, legal, and operations to gather necessary information and evidence.
- Responsible for customer cashiering activity surveillance, trade surveillance programs, and KYT requirements.
- Tune and continuously improve monitoring coverage regarding AML Systems, Reporting and Analytics, including for AML transaction monitoring systems.
- Stay updated on relevant AML laws, regulations, and industry trends, and proactively assess the impact of any changes on the firm's AML program, recommending necessary updates to policies and procedures.
- Lead CDD, EDD, and Customer Risk rating efforts.
- Keep accurate records and documentation of AML activities, investigations, and reporting, ensuring adherence to recordkeeping requirements.
- Prepare and oversee Suspicious Activity Reporting, 314(a), and 314(b).
- Engage routinely with Account and Banking Operations, Fraud, Legal, Audit, Engineering, Data Analytics, and other business lines.

## Who You Are

- Bachelor's degree in finance, business administration, or a related field. Advanced degrees or professional certifications (e.g., CAMS - Certified Anti-Money Laundering Specialist) are highly desirable.
- Extensive experience in AML compliance within a broker-dealer firm, with a comprehensive understanding of KYC, CDD, EDD, Sanctions/OFAC, AML laws, regulations, and best practices specific to the industry.
- Solid knowledge of relevant regulatory frameworks, including the Bank Secrecy Act (BSA), USA PATRIOT Act, CFTC, NFA, FINRA AML rules, and other applicable regulations.
- Strong analytical and investigative skills, with the ability to identify suspicious patterns, conduct detailed investigations, and make sound judgments based on available information.
- Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, and external parties.
- Detail-oriented mindset, with exceptional organizational and time management skills to handle multiple priorities and meet deadlines.
- Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization.

## Licensing

**Required:** Series 3, Series 7, Series 24, and Series 63  
**Preferred:** CAMS certification

## Company Perks + Benefits

- Performance Bonuses
- Stock Purchase Options
- Medical/Vision/Dental Benefits
- 401k Plan
- 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
- 10 Paid Sick Days
- Gym Membership Reimbursement
- Commuter Benefits
- Pet Insurance
- Wellness & Mental Health Programs
- Charitable Donation Matching
- Two Paid Volunteer Days Off
- Daily catered lunch when in the office
- Full kitchen with snacks and beverages
- In-building gym
- Shuttle to/from Metra

**Discretionary Performance Bonus:** 15-20% of base salary based on individual and company performance.

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