01Key Responsibilities
Partner with the AMLCO (and/or CCO) to maintain, enhance, and operationalize the firms CIP/KYC, AML, Anti-Fraud, and Fraud Monitoring initiatives across both the firms Securities and Crypto entities. Lead and maintain periodic firm-wide risk assessments covering BSA/AML, sanctions, fraud, and surveillance programs. Oversee transaction monitoring systems, blockchain analytics tools, and case management workflows. Conduct in-depth investigations into potential suspicious activity across crypto, equities, and other financial instruments, including market manipulation, fraud, account takeovers, money laundering typologies, and other financial crimes through transaction monitoring alerts, escalations, and referrals. Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements and internal policies. Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries. Partner with internal stakeholders and assist during external audits, examinations, and regulatory inquiries and engagements. Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols. Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms. Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors. Stay current on evolving regulatory requirements and industry best practices, with a focus on the Bank Secrecy Act, the USA PATRIOT Act, OFAC sanctions programs, MSB AML Regulations and applicable federal and state laws, rules and regulatory expectations, and proactively assess their impact on the firms business and compliance programs. What You Bring (Required Qualifications): 58+ years AML, fraud, or financial crime investigations experience at FINRA broker-dealer and/or crypto MSB. Strong understanding of BSA/AML, USA PATRIOT Act, OFAC, FinCEN MSB requirements, and FINRA/SEC rules. Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity. Experience with transaction monitoring systems, case management tools, open-source intelligence (OSINT) research and investigations and blockchain analytics. Strong analytical, documentation, and SAR-writing skills. Effective communication and problem-solving abilities. Proficient in Google Sheets or MS Excel, including pivot tables and advanced filtering. Working knowledge of domestic W
