Vice President, AML Compliance Officer

Wedbush Securities

Financial Services

10075 New York, NY - USA

Manager / Team Leader

Experteer Overview

In this role you will lead the BSA/AML program for Wedbush Securities, ensuring alignment with regulatory guidance and industry best practices. You will oversee transaction monitoring, sanctions, training, and risk assessments to detect and deter money laundering risks. The position reports to the Chief Compliance Officer and guides the AML team across divisions. You will help shape enterprise compliance and drive effective risk management in a large, multi-division financial services firm.

Compensation / Benefits

comprehensive medical, dental, and vision
Health Savings Account (HSA) with company contributions
Flexible Spending Accounts (FSA)
Pre-Tax Commuter Benefits
401(k) with company match and profit-sharing
tuition reimbursement

Responsibilities

Coordinate and execute a dynamic AML compliance program in line with industry best practices and regulatory requirements
Develop and administer AML transaction monitoring systems to identify suspicious activity
Create and maintain an AML surveillance reporting program to detect suspicious transactions
Administer the AML training program for management and staff and provide guidance on policies and procedures
Establish and maintain a global sanctions monitoring program including OFAC
Conduct periodic risk assessments across customers, products, services, geographies to identify AML risks
Provide strategic direction to the AML team to monitor trends and external factors affecting money laundering risk
Respond to examinations and audits by FINRA, SEC and independent bodies
Perform other tasks as required

Key requirements

Bachelor's degree from an accredited university
Advanced knowledge of AML and sanctions compliance rules in banking/securities
Experience as AML Compliance Officer for a bank or large broker-dealer with diverse businesses
ACAMS certification or equivalent
7+ years of supervisory/management experience
Proficient in Microsoft Office
Series 7/24 licenses preferred
Strong analytical, investigative, problem-solving, and communication skills
Executive-level business acumen and ability to interact across departments

strong communication and presentation leadership and supervision executive-level business acumen AML rules and sanctions regulations transaction monitoring systems OFAC monitoring

Description

In this role you will lead the BSA/AML program for Wedbush Securities, ensuring alignment with regulatory guidance and industry best practic…

1M+ top positions worldwide with salary benchmarks
Be discreetly found and contacted by headhunters
Exclusively for senior-level professionals and executives

Already a member?