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