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RQD Clearing is a modern, cloud-native clearing firm offering clearing, custody, and execution solutions to broker-dealers, FinTechs, RIAs, and proprietary trading firms. Backed by ABN AMRO Bank and Nyca Partners, the company is finalizing Series B funding and building a compliance function from the ground up.
The AML Compliance Officer will join the Compliance Team to expand and enhance the firm's AML and overall compliance program. Reporting to the Chief Compliance Officer, this role serves as a key contributor to regulatory priorities and client onboarding.
Key responsibilities include:
- Reviewing client account documentation and performing CIP (Customer Identification Program) reviews
- Investigating and dispositioning AML alerts, filing SARs (Suspicious Activity Reports)
- Conducting comprehensive internal compliance reviews including wire and ACH surveillance exception reports
- Reviewing sanctions and negative news on clients
- Drafting and updating compliance policies and procedures (WSPs, AML policies)
- Designing and administering periodic AML, sanctions, and regulatory training
- Assisting with regulatory inquiries and audits
- Monitoring sanctions, AML rules, and regulatory updates
- Supporting operations and development staff on compliance matters
Required qualifications:
- 5+ years of AML/Sanctions compliance experience at a broker-dealer, clearing firm, regulator, or financial services firm
- SAR filing and 314(a) review experience
- Expertise in CIP, KYC, AML, and Sanctions
- Background with DTCC, OCC, SEC, and FINRA rules
- Strong writing and communication skills
- Self-starter who works well under pressure
- SIE, Series 7, and Series 63 (within first 6 months)
- ACAMS certification preferred
Bonus skills: T-SQL, .NET (C#), Microsoft Azure Stack, ComplyAdvantage, or Trulioo experience.
