Securities Compliance Officer - AML & Elderly/Vulnerable Specialist

Join our team as a Securities Compliance Officer - AML & Elderly/Vulnerable Specialist. Review securities laws and regulations, develop policies, conduct compliance testing, and respond to regulatory inquiries and examinations. This is a hybrid position with 3 days onsite and 2 days remotely. Estimated salary range is $90k - $95k Annual.

Requirements

• Conduct investigations into potential unusual activity and potential elderly/vulnerable exploitation and determine if there is required regulatory reporting
• File required Suspicious Activity Reports (SARs) with FinCEN and conduct required follow up investigations
• Run and research weekly AML reports, such as OFAC and 314(a) and ensure required reporting is made timely
• Review on all new entity account applications for potential AML concerns
• Conduct research on clients and entities investing large dollar amounts to verify source of funds and deter money laundering
• Contact representatives and clients to investigate and detect potential unusual activity and/or elderly/vulnerable exploitation
• Aid in the improvement of tools to monitor, analyze, and report suspicious activity such as conducting high risk jurisdiction reviews
• Conduct an annual AML risk assessment
• Assist in regulatory examinations and inquiries related to AML
• Coordinate with an outside consulting firm to conduct the annual independent review of the Firm’s AML Program
• Provide AML and Senior and Elderly exploitation guidance and training to the business and the salesforce
• Work with the transfer agent and outside fund companies to place freezes on accounts when necessary
• Maintain and enhance AML policies and procedures, including the AML Program and CIP Program
• Maintain the AML Identity Theft Prevention Program
• Help with identifying any AML loopholes and coordinating projects to bridge those gaps

Benefits

• Day one health, dental, and vision insurance
• 401(k) Plan with competitive employer match
• Vacation, sick, holiday and volunteer time off
• Life and disability insurance
• Flexible Spending Account & Health Savings Account
• Professional development
• Tuition reimbursement
• Company-sponsored social and philanthropy events