AML Compliance Officer

Join Tastytrade as an AML Compliance Officer, where you will play a critical role in ensuring compliance with anti-money laundering regulations and policies. You will be responsible for identifying, preventing, and reporting potential instances of money laundering and other financial crimes. This position requires a deep understanding of AML laws and regulations, strong analytical skills, and the ability to work collaboratively with various internal teams. Enjoy a range of benefits, including multiple medical plan options, generous paid time off, a 401(k) with company match, and more.

• Identifying, preventing, and reporting potential instances of money laundering, terrorist financing, and other financial crimes within the organization.
• Developing, implementing, and maintaining comprehensive AML policies, procedures, and controls that align with regulatory requirements and industry best practices.
• Conducting thorough investigations into flagged transactions or activities, collaborating with internal teams to gather necessary information and evidence.
• Preferred: CAMS certification
• Extensive experience in AML compliance within a broker-dealer firm, with a comprehensive understanding of KYC, CDD, EDD, Sanctions/OFAC, AML laws, regulations, and best practices specific to the industry
• Solid knowledge of relevant regulatory frameworks, including the Bank Secrecy Act (BSA), USA PATRIOT Act, CFTC, NFA, FINRA AML rules, and other applicable regulations
• Required: Series 3, Series 4, Series 7, Series 24, and Series 63
• Detail-oriented mindset, with exceptional organizational and time management skills to handle multiple priorities and meet deadlines
• Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, and external parties
• Bachelor's degree in finance, business administration, or a related field. Advanced degrees or professional certifications (e.g., CAMS - Certified Anti-Money Laundering Specialist) are highly desirable
• Licensing:
• Strong analytical and investigative skills, with the ability to identify suspicious patterns, conduct detailed investigations, and make sound judgments based on available information
• Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization
• Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role, but your experience doesn’t align perfectly, we encourage you to apply anyway. You may be just the right candidate for this or other roles!