Associate Vice President, Senior Compliance Officer

The Company is in search of an AVP, Senior Compliance Officer to join its Compliance department. The successful candidate will be responsible for supporting the company's business in an ethical, sustainable manner, and in compliance with all relevant regulations. This role is pivotal in maintaining the Branch compliance framework and serving as the Deputy AML Officer. Key responsibilities include the development, maintenance, and review of compliance policies and procedures, risk assessments, and control inventories. The role also involves overseeing and performing risk-based compliance monitoring and testing, providing AML oversight for customer activities, and coordinating AML and sanctions activities. The AVP, Senior Compliance Officer will be expected to have a strong background in BSA/AML and OFAC controls, customer due diligence, and transaction monitoring, and to possess a relevant professional certification such as CAMS. The ideal candidate for this position at the company will be a seasoned compliance professional with a minimum of a bachelor's degree and at least 5 years' of experience in a regulated financial services environment. They should have a strong working knowledge of banking, broker-dealer, and financial services compliance requirements, and experience in supporting broker-dealer compliance programs is strongly preferred. The role requires a candidate with high integrity, sound judgment, and strong attention to detail, who can manage complex controls and multiple deadlines independently. The ability to build credibility across various functions, operate in a fast-paced regulated environment, and maintain appropriate challenge and oversight is essential. Professional certifications such as CAMS, and FINRA Series 7, 24, and SIE licenses are preferred, or the willingness to obtain and maintain these licenses.