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Anti-Money Laundering Compliance Officer
2 months ago
Independent Financial Group, LLC (IFG) is a privately held independent broker-dealer based in San Diego, California. Founded in 2003, IFG provides an array of business solutions supporting more than 656 independent financial professionals across 409 offices nationwide. IFG was named among the “Fastest Growing Private Companies in the US” by Inc. 5000 in 2020, for the eighth time since 2010. San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022. In 2022, IFG was ranked 19th largest among national independent broker-dealers by Financial Advisor Magazine and Financial Planning Magazine, based on revenue.
Job Duties
The Anti-Money Laundering Compliance Officer (AMLCO) will manage the Firm’s program for compliance with AML, Bank Secrecy Act (BSA), Enhanced Due Diligence (EDD) and/or Customer Identification Program (CIP) rules, regulations and standards of conduct. The AMLCO is responsible for designing and implementing policies, procedures, standards of conduct and internal controls to prevent, detect and mitigate violations of applicable money laundering, terrorist financing and privacy related legislation. As applicable, the AMLCO will work internally with the Legal Department and/or other individuals within the Compliance Department and externally with our clearing firm and/or direct business vendors, to provide analysis and requested information for subpoenas and other regulatory and audit requests. The AMLCO will review reports to help identify suspicious and atypical transactions and money movements.
Other tasks, responsibilities and duties as assigned.
Qualifications
- Bachelor’s Degree
- Proficient in AML regulations. CAMS Certification a plus.
- 2+ years of relevant work experience in financial services
- Proficient with Microsoft Office
- Strong communicator, comfortable in presenting and explaining analysis
- Knowledge of/experience with financial products and services
- Ability to multi-task on several different assignments/projects
- Ability to use discretion when handling sensitive and confidential information
- Series 7 and 24
- Previous experience with NETX360 a plus
- Familiar with Bank Secrecy Act, the USA PATRIOT Act and the Gramm-Leach-Bliley Act
Compensation
- IFG offers a competitive benefits package, including company-paid medical, dental and vision benefits, 401(k) matching, market-level compensation based on experience, free on-site fitness center, and provides employee events throughout the year.
