AML Compliance Officer

3 weeks ago

Charlotte, United States FNZ Group Full time
Role Description

FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect to commence operations in 2024.

This is an exciting opportunity for an experienced Anti-Money Laundering (AML) professional to join a newly formed U.S. clearing broker dealer. This venture represents FNZ's entry into the U.S. fully disclosed clearing marketplace which is a key step in the firm's strategic long-term growth strategy. The role will include establishing and overseeing an AML program for a newly created brokerage clearing firm.

Reporting into the Chief Compliance Officer, this person will manage a team of AML professionals and overseeing all aspects of organizational compliance with AML laws and regulations, internal reporting and interactions with regulators and FNZ Global Risk and Compliance. AML Officer will also work with vendors and IT providers to implement an effective technical infrastructure and will oversee all outsourced AML activities.

The AML Officer is responsible for compliance with all US related Anti-Money Laundering and Know Your Customer (AML-KYC) regulations and requirements and for implementation and administration of AML compliance program including internal controls, policies, procedures, training and testing the effectiveness of the program using industry standards and regulatory guidance.

Specific Role Responsibilities
  • Develop and establish Policies and Procedures related to performing and updating the BSA/AML and OFAC Risk Assessments and its methodology.,
  • Document and maintain the Policy and Procedures for the BSA/AML/OFAC Compliance Testing Program.,
  • Develop scripts for the testing of business processes, procedures, and controls, both manual control processes and systems controls and maintain documentation and workpapers for examinations and reviews conducted.,
  • Stays apprised of BSA/AML/OFAC legal and regulatory developments,
  • Maintain effective communication with business unit and infrastructure leads assigned to understand BSA/AML and OFAC risks and internal control mitigants of each area.,
  • Recommend for corrective action including policies, procedures and processes., Modifies scripts and/or scope based on initial findings.,
  • Understands, monitors and incorporates the specific BSA/AML and OFAC risks and the mitigating internal controls relating to customers, products & services, and geographies for business/infrastructure units assigned.
  • Oversee the review the program reporting provided by staff of the daily AML and sanctions compliance monitoring for account openings, KYC customer risk assessments and customer activity and financial transactions.
  • Provide guidance to management and business unit partners on AML and sanctions compliance and regulation.
  • Keep abreast of global regulatory updates and interpretive releases.
Experience Required
  • Bachelor's Degree; Business, Finance, or equivalent field or equivalent work experience
  • CAMS and CGSS designations.
  • Must have at least 10 years work experience with a minimum of 7 years of direct experience in a self-clearing US broker-dealer operating in the wealth management space
  • Significant prior exposure to retail finance and banking operations and its related rules and regulations is required as is significant direct experience in a compliance-related function.
  • Knowledge of current AML laws and regulations that affect the organization's policies (BSA/AML/PATRIOT), including any relevant New Hampshire Banking Department requirements.
  • Knowledge of regulatory and compliance risk methodology and standards
  • Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in our compliance systems as required to perform the duties of this position.
  • Able to work overtime as necessary to keep current with work
About FNZ Culture

Our culture is what drives us. It's at the heart of who we are and everything we do. It's what inspires, excites, and moves us forward. Our ambition is to create a culture for growth, one that opens up limitless opportunities for our employees, customers and the wider world. At FNZ we know that great impact is only possible with great teamwork.

That's why we value the strength and diversity of thought in our global team.

The FNZ Way is the cornerstone of what we do. It is comprised of four values that set the standard for how everyone at FNZ interacts with each other, with our customers, and with all our diverse stakeholders around the world.

1. Care hard for customers and each other

2. Bring ambition to everything we do

3. Own it all the way

4. Work as one open team

Read more about The FNZ Way and our values: www.fnz.com/culture

Opportunities
  • Right from day one, you will work alongside exceptional, multicultural teams - experts in their respective fields - who will inspire and challenge you to make your greatest impact.
  • Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world's largest companies;
  • Working in a flexible and agile way that meets the needs of the business and personal circumstances;
  • Remuneration, significant financial rewards and career advancement is based on individual contribution and business impact rather than tenure or seniority;
  • We provide global career opportunities for our best employees at any of our offices in the UK, EU, US, Canada, South Africa, and APAC.


Commitment to Equal Opportunities

At FNZ, we recognise that diversity, equity and inclusion are important factors contributing to our success. We embrace the unique perspective and capabilities of our current and future employees, which will help us continue to drive innovation and achieve our business goals. Recruitment decisions at FNZ are made in a non-discriminatory manner without regard to gender, ethnicity/race, faith, age, nationality, gender identity, sexual orientation, marital status, socio-economic background, disability or military veteran status where all applicants and employees are valued and respected.

In addition, we want to ensure accessibility needs are well supported, if you require specific support please advise us.

#LI-ES

About FNZ

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.

We created wealth's growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.

We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).

Together with our customers, we help over 20 million people from all wealth segments to invest in their future.

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