Responsibilities

• Skill level – advanced knowledge
• AML / Compliance
• Approve new customer accounts including KYC supervision and CIP process
• Approve outgoing money movements
• Conduct regular monitoring of securities and money transactions (incoming wires) and complete
• appropriate review in particular when dealing with third party transfers
• Participate in investigations of unusual activities and file SARs with FinCEN, when and if
• applicable
• Participate in regular, annual and ad-hoc testing/monitoring/and adjustment of policies,
• procedures, and processes for surveillance and monitoring tasks for the broker dealer and
• investment adviser
• Review of alerts generated to monitor sales practices and AML issues
• Review of electronic communications via Global Relay and Smarsh
• Review of outside brokerage accounts
• Periodic review of accounts categorized as high risk and PEP/ PEP related
• Review of advisory accounts to assess accuracy of fees and overall portfolio
• Review of Reg BI explanations provided by sales personnel when recommending an investment product/ strategy
• Assist in the review of marketing letter
• Assist in Form ADV Updates, Form CRS, and other disclosures
• Assist in the planning, implementation and follow up of annual training
• Assist in the review of annual compliance questionnaires and any disclosures collected from associates
• Review and ongoing review of outside business activities
• Stay abreast of changes in regulatory environment providing guidance and advice to
• management including RegBI
• Assess risks and proactively propose solutions
• Monitor firm’s TRACE, CAT and CAIS reporting
• Assist in various other compliance needs and tasks as necessary
• Supervise outside business activity
• Perform initial due diligence and approve registered personnel

• Minimum Qualifications
• 5+ years of experience in AML / Compliance for a broker-dealer
• Training in BSA/AML and OFAC Compliance or equivalent
• Strong working knowledge of FINRA and SEC rules
• Strong oral and written communication skills
• Ability to work in a team as well as independently
• Expertise with financial products of a broker dealer
• Series 7, 66 and 24; can pass 66 within six months of hire
• Bachelor’s degree Fluency in English and Spanish
• Plus: Experience with Pershing platform