Assistant Vice President, Compliance

We are seeking an experienced Assistant Vice President (AVP) – AML Compliance on behalf of a leading Asset Management Firm with $8 billion in AUM. This role will be responsible for overseeing AML compliance, sanctions programs, and employee compliance while contributing to capital markets business coverage. The ideal candidate will have a strong background in AML compliance, financial crime prevention, and regulatory oversight.

Key Responsibilities:

  • Lead the implementation, monitoring, and enhancement of the firm's AML program, ensuring compliance with Bank Secrecy Act (BSA), FinCEN, and other regulatory requirements.

  • Oversee AML controls, including suspicious activity monitoring, Know-Your-Customer (KYC) due diligence, and sanctions screening.

  • Maintain and update AML-related policies to align with regulatory developments and industry best practices.

  • Ensure compliance in client onboarding, due diligence, and risk assessment to mitigate money laundering risks.

  • Provide strategic AML and sanctions compliance guidance to internal teams, ensuring adherence to applicable regulations.

  • Support compliance oversight for investment banking and capital markets activities, ensuring alignment with SEC, FINRA, and other regulatory frameworks.

  • Ensure adherence to key securities laws, including Regulation M, Regulation Best Interest, and FINRA Rules 2111, 3110, 5110, and 5123.

  • Conduct electronic communication surveillance and employee training on compliance policies.

  • Monitor adherence to watch list management, insider trading policies, and material non-public information (MNPI) controls.

Qualifications & Skills:

  • 5+ years of experience in AML compliance, sanctions, financial crime, or risk management in financial services.

  • Strong understanding of AML regulations (e.g., BSA, FinCEN) and securities laws (e.g., Reg M, Reg BI, FINRA rules).

  • Experience in capital markets, investment banking, or financial services compliance programs.

  • Strong background in KYC, suspicious activity monitoring, and transaction surveillance.

  • Technical proficiency in compliance/risk tools (e.g., StarCompliance, MyComplianceOffice, ComplySci, Actimize).

  • Analytical mindset with excellent communication and problem-solving skills.

  • Ability to manage multiple priorities in a fast-paced, highly regulated environment.

How to Apply: