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Chief AML Compliance Officer

12 hours ago

Fort Lauderdale, Florida, United States Kovack Financial Network Full time

Company Description

Kovack Financial Network, operating through its subsidiaries Kovack Securities, Inc. (KSI) and Kovack Advisors, Inc. (KAI), specializes in empowering entrepreneurial financial professionals to establish and grow successful independent practices. By providing a wealth of services, tools, resources, and training, Kovack enables financial professionals to focus on serving their clients' needs while effectively managing their practices. The firm emphasizes an open product platform, innovative fee-based programs, and strong partnerships to deliver customized investment solutions. Located in Ft. Lauderdale, Florida, Kovack Financial Network is committed to supporting its financial professionals and their pursuit of delivering quality financial advice as independent professionals.

Role Description

This is a full-time, hybrid role located in the Miami-Fort Lauderdale area for a Chief AML Compliance Officer (Chief AMLCO). The Chief AMLCO will oversee Anti-Money Laundering (AML) compliance efforts, ensuring adherence to regulations and addressing compliance-related risks. Responsibilities include developing and implementing AML policies and procedures, performing due diligence and risk assessments, monitoring and reporting suspicious activities, and ensuring compliance with sanctions and regulatory requirements. The Chief AMLCO will liaise with regulatory bodies, provide staff training on AML practices, and ensure continuous improvement of compliance frameworks.

Key Responsibilities
:

  • Develop, implement, and maintain the AML/CTF compliance framework in accordance with BSA, FinCEN, OFAC, FATF, and applicable domestic and international regulations.
  • Serve as the designated BSA/AML Officer under applicable laws and regulatory requirements.
  • Conduct and lead enterprise-wide AML risk assessments, ensuring appropriate risk-based controls are in place.
  • Oversee the SAR/STR process, including review, approval, and timely filing with relevant authorities.
  • Manage transaction monitoring and sanctions screening systems; ensure optimization and proper escalation of alerts.
  • Provide senior management and the Board with regular reporting on financial crime risk exposures and program effectiveness.
  • Represent the firm during regulatory examinations, audits, and inquiries.
  • Oversee the firm-wide AML/CTF training program to ensure awareness and compliance across all business units.
  • Maintain and update AML policies, procedures, and internal controls in line with regulatory changes and emerging risks.
  • Lead, develop, and mentor a high-performing AML compliance team.

Qualifications
:

  • Minimum 5 years of progressive AML/CTF and financial crime compliance experience; leadership experience is highly preferred.
  • Deep knowledge of U.S. and international AML/CTF frameworks and regulations.
  • Proven track record managing complex regulatory exams and internal investigations.
  • Strong leadership, interpersonal, and cross-functional collaboration skills.
  • Excellent verbal and written communication, with the ability to present to senior stakeholders.

License & Certification Requirements
:

  • CAMS Certification – Required
  • Additional designations a plus: CGSS, CCAS, CAFS, CTMA
  • FINRA Series 7 & 24 – Preferred
  • Bilingual in Spanish or Chinese – a strong plus