Head of AML & Sanctions Compliance

The Company is in search of a Head of AML and Sanctions Compliance to spearhead its financial crimes compliance program, with a focus on securities trading and derivatives activities. This senior leadership role is pivotal in overseeing AML governance, sanctions compliance, transaction monitoring, regulatory examinations, and financial crimes risk management. The successful candidate will be responsible for serving as the firm's designated AML Compliance Officer, ensuring the effectiveness of the AML and sanctions framework, and providing strategic guidance to senior management on compliance risks and regulatory expectations. Applicants for the Head of AML and Sanctions Compliance position at the company should have a significant background in BSA/AML and sanctions compliance within a regulated financial institution, with a strong emphasis on broker-dealer AML compliance. The role requires a comprehensive understanding of various regulatory requirements, including those of the SEC, FINRA, CFTC, NFA, and OFAC. The ideal candidate will have experience in managing AML compliance programs, conducting risk assessments, and overseeing regulatory examinations. Strong leadership, analytical, and communication skills are essential, as is the ability to independently evaluate financial crimes risks and implement effective compliance controls. Professional certifications such as CAMS, CFCS, or comparable financial crimes credentials are preferred, along with a proven track record of enhancing AML and sanctions programs.