Financial Crimes Compliance Lead, Wealth Management
Financial Crimes Compliance Lead - Wealth Management
Our client is a global investment bank with a strong North American footprint, offering integrated wealth management services through both broker-dealer and registered investment adviser platforms. They are seeking a seasoned Financial Crimes Compliance Lead to oversee and enhance the Anti-Money Laundering (AML) program for their U.S. Wealth Management business, based in New York City.
Role Overview
This individual will join the Compliance Department supporting the U.S. arm of a Canadian Wealth Management practice. Reporting to the Deputy Chief Compliance Officer and Chief Operating Officer of the U.S. Wealth Management division, the Financial Crimes Compliance Lead will serve as the primary point of contact for AML oversight and collaborate closely with global AML leadership.
Key Responsibilities
Lead the development, implementation, and ongoing enhancement of the AML Program for U.S. Wealth Management.
Align AML policies and procedures across jurisdictions while ensuring full compliance with U.S. regulations.
Oversee transaction monitoring, investigations, and suspicious activity reporting systems.
Implement robust financial crimes, sanctions, and KYC compliance frameworks.
Collaborate with Operations and business partners to strengthen AML controls.
Provide AML guidance through training programs and policy development.
Advise senior management and operational teams on AML matters.
Conduct periodic client profile reviews and support onboarding oversight.
Determine outcomes of investigations and file Suspicious Transaction Reports (STRs) as needed.
Respond to regulatory inquiries and manage AML-related projects.
Maintain detailed records in accordance with internal and regulatory standards.
Qualifications
Required:
10+ years of experience in financial crimes and AML compliance.
5+ years in a hybrid investment adviser/broker-dealer environment.
Deep familiarity with wealth management or retail brokerage operations.
Proven track record in leading financial crime-related projects.
Ability to communicate complex AML concepts to diverse audiences.
Preferred:
ACAMS certification.
Advanced degree in business or law.
Experience managing teams or projects.
Skills & Attributes
Exceptional written and verbal communication skills.
Strong analytical and investigative capabilities.
Independent and collaborative work style.
Sound judgment in a fast-paced, regulated environment.
Compensation
Base salary range: $170,000-$185,000
Plus discretionary annual bonus
Culture & Values
Our client fosters a performance-driven, inclusive culture where employees are empowered to make meaningful contributions. Diversity is embraced as a strength, and the organization is committed to building a team that reflects a wide range of backgrounds and perspectives.
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Certainly - here's the updated job advertisement with the correct title, New York City location, salary details, and Canada anonymized as "a global wealth management affiliate":
Financial Crimes Compliance Lead - Wealth Management
Our client is a global investment bank with a strong North American footprint, offering integrated wealth management services through both broker-dealer and registered investment adviser platforms. They are seeking a seasoned Financial Crimes Compliance Lead to oversee and enhance the Anti-Money Laundering (AML) program for their U.S. Wealth Management business, based in New York City.
Role Overview
This individual will join the Compliance Department supporting the U.S. arm of a global wealth management affiliate. Reporting to the Deputy Chief Compliance Officer and Chief Operating Officer of the U.S. Wealth Management division, the Financial Crimes Compliance Lead will serve as the primary point of contact for AML oversight and collaborate closely with global AML leadership.
Key Responsibilities
Lead the development, implementation, and ongoing enhancement of the AML Program for U.S. Wealth Management.
Align AML policies and procedures across jurisdictions while ensuring full compliance with U.S. regulations.
Oversee transaction monitoring, investigations, and suspicious activity reporting systems.
Implement robust financial crimes, sanctions, and KYC compliance frameworks.
Collaborate with Operations and business partners to strengthen AML controls.
Provide AML guidance through training programs and policy development.
Advise senior management and operational teams on AML matters.
Conduct periodic client profile reviews and support onboarding oversight.
Determine outcomes of investigations and file Suspicious Transaction Reports (STRs) as needed.
Respond to regulatory inquiries and manage AML-related projects.
Maintain detailed records in accordance with internal and regulatory standards.
Qualifications
Required:
10+ years of experience in financial crimes and AML compliance.
5+ years in a hybrid investment adviser/broker-dealer environment.
Deep familiarity with wealth management or retail brokerage operations.
Proven track record in leading financial crime-related projects.
Ability to communicate complex AML concepts to diverse audiences.
Preferred:
ACAMS certification.
Advanced degree in business or law.
Experience managing teams or projects.
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