Chief Compliance Officer
Lead compliance for an RIA and Broker-Dealer at an AI investment management startup. Own policies, surveillance, regulator relationships, and embed compliance into product.
Head of AML
Own the AML/BSA program end-to-end, manage banking partner compliance relationships, and drive regulatory integrity for a fast-moving fintech. Requires 8-10 years of AML experience and direct sponsor-bank relationship management.
San Francisco, CANew York, NYLegalHybrid8+ YOE
About the role
What You’ll Do
- Own the AML/BSA program — drafting and maintaining policies that actually govern how the business operates
- Develop risk assessments for BSA/AML and OFAC/Sanctions; keep policies current as programs and regulations evolve
- Run the monthly compliance reporting cycle with banking partners; serve as the primary compliance contact across all partners
- Lead partner meetings and stay ahead of issues before they become escalations; maintain a clear tracker of obligations and open items
- Work closely with KYC/TM Ops, Product, and Engineering to improve the systems and processes
- Contribute to compliance buildout for Nova and other products
What We’re Looking For
- 8–10 years of AML/BSA compliance experience at a fintech, broker-dealer, bank, payment processor, or MSB
- Direct experience managing banking partner or sponsor bank relationships
- Hands-on familiarity with transaction monitoring, UARs/SARs, and CDD/EDD
- Strong working knowledge of FinCEN regulations, BSA, and OFAC
- Experience working within Broker Dealer context helpful
- Experience with platforms like Alloy, Unit21, or Persona
- Clear written communication and organizational rigor to manage multiple concurrent deadlines
Skills
AMLBsaOfacFincenTransaction MonitoringSarsCddEddAlloyUnit21Persona
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