ANTI-MONEY LAUNDERING OFFICER
Company: Maxim Group LLC
Location: New York
Posted on: September 12, 2024
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Job Description:
Head of Maxim's AML Department and Anti Money Laundering
Officer
Maxim Group, a full-service, mid-size broker dealer and investment
bank with primary offices in midtown Manhattan, is looking to fill
the role of Head of the Firm's AML Department and Anti Money
Laundering Officer following the retirement of the Firm's outgoing
AMLO.
Candidates must have previous experience working in AML at a broker
dealer and with the application of SEC and FINRA AML rules and
regulations to the securities business - both trading and
investment banking exposure preferred but not required.
Candidates will be expected to excel at identifying and escalating
AML issues to the Firm's CCO, interpreting and implementing new AML
rules and regulations, reviewing SARs, engaging with regulators
during AML examinations and inquiries, and training and managing a
junior AML staff.
Traditional banking AML experience a plus.
Location: Hybrid - Primary Office Located in Midtown Manhattan with
Work-From-Home Flexibility
Required/Preferred Skills & Licenses: FINRA 7, 24, & ACAMS
certification are preferred but not required.
Salary range 140k-170k + discretionary bonus + benefits
Keywords: Maxim Group LLC, Bayonne , ANTI-MONEY LAUNDERING OFFICER, Other , New York, New Jersey
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