Head of AML Compliance

Location: New Jersey, On Site

Exciting opportunity to join the fastest growing global investment and trading platforms. Their mission is to empower investors with cutting-edge tools, data, and education to bridge the gap between retail and institutional investors.

We are looking for a leader to own and evolve the AML framework across a fast-growing broker-dealer environment, partnering closely with technology and data teams to modernize surveillance. You would own the program, supervise investigations, upgrade surveillance/data, and be the point person for regulators.

About The Team & Role

As the Head of AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services.

Requirements:

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations.
• Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs.
• Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
• Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
• Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements.

What You Offer

• Required: Broker-dealer experience, FINRA Series 7 License.
• Required Series 24 (or ability to obtain within 4 months of hire).
• Significant AML experience within a FINRA-registered broker-dealer.
• In-depth knowledge of current FINRA, SEC, state, and related regulations and rules.
• Strong background in AML data, systems, and reporting.

Benefits What We Offer:

• Comprehensive Paid Medical Benefits
• 401k Employer Contribution:
• Generous Paid Time Off & Paid Holidays
• Performance Based Bonuses