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AML Compliance Officer - AVP

  • Location: New York, NY
  • Job Type: Direct Placement
  • Ref No: 19-03612
  • Date: June 06, 2019
  • Job title:

Michael Ziegelbaum

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Job Description - AML Compliance Officer - AVP

The Firm is looking for an AML Compliance Officer (AVP) with extensive knowledge of the BSA/Patriot Act and Financial Crime.


  • Participate as an active member of the Firm's AML Compliance team
  • Focus on improving the Firm's transaction monitoring program
  • Support the on-going review of financial crime, risk management framework (including anti-money laundering counter terrorist financing), sanctions, fraud and anti-bribery and corruption
  • Assist in developing and enhancing compliance processes and procedures as needed


  • BS or BA from an accredited university
  • Law degree or pursuit thereof is a plus
  • 2+ years' work experience in AML Compliance
  • 4+ years' work experience in Financial Crime Regulations
  • Thorough knowledge of BSA/Patriot Act and financial crime regulations
  • Understanding of the Client rules and relevant regulations, and the ability to apply this knowledge in a commercial environment
  • Experience with transaction reporting surveillance
  • Understanding of wash trade, spoofing, pump & dump scenarios and analysis thereof
  • Some experience in broker dealer compliance
  • Superior mathematical skill able to work with formulas
  • Superior written and verbal skills in order to communicate effectively
  • Computer literacy; experience with Microsoft Office Suite


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