This position is for our client located in Downtown Miami on a hybrid schedule. The ideal candidate will have worked in broker dealer.
Responsibilities:
- Prepares and maintains official corporate notices, records and actions in accordance with federal and state government and regulatory agency requirements
- Ensures that the AML and sanctions policies and procedures of the organization comply with all applicable laws and regulations and align with holding company and head office
- Oversees the review and interpretation of new pending laws and regulations, which potentially affect the organization's business practices
- Works with management on strategic planning activities to ensure and enhance organizational AML compliance with all applicable laws and regulations
- Oversee compliance with regulatory requirements, expectations, and examinations with respect to the compliance risk function
- Develop and execute comprehensive Compliance Programs to ensure ongoing compliance with all regulatory requirements, including BSA, AML, and Global Sanctions
Required:
- 4-5 years in AML/KYC regulatory compliance in a broker dealer
- Series 7 plus
- Must be bilingual in English and Spanish
