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Salary: USD 120,000 - 180,000 / annual
As an AML Compliance Officer at tastytrade (part of IG North America), you will lead the anti-money laundering compliance function for a fast-growing fintech broker-dealer serving over 1.3 million customers. You'll report to the Chief Compliance Officer and be responsible for developing, implementing, and maintaining comprehensive AML policies, procedures, and controls aligned with FINRA, SEC, CFTC, and NFA requirements across all trading products including equities, options, futures, crypto, and event contracts.
Key responsibilities include conducting AML risk assessments, serving as the primary regulatory contact for authorities and law enforcement, overseeing the enterprise compliance function, and managing investigations into flagged transactions. You'll lead customer due diligence (CDD), enhanced due diligence (EDD), and customer risk rating efforts, while tuning AML transaction monitoring systems and reporting analytics. You'll also oversee suspicious activity reporting (SAR), 314(a), and 314(b) filings, and maintain accurate documentation of all AML activities.
You'll collaborate across compliance, legal, operations, fraud, audit, engineering, and data analytics teams. The role requires staying current on AML laws, regulations, and industry trends, proactively assessing regulatory changes and recommending policy updates. You'll manage customer cashiering activity surveillance, trade surveillance programs, and know-your-transaction (KYT) requirements.
Required qualifications: Bachelor's degree in finance, business administration, or related field; extensive AML compliance experience in a broker-dealer firm; comprehensive understanding of KYC, CDD, EDD, Sanctions/OFAC, and relevant regulatory frameworks including the Bank Secrecy Act and USA PATRIOT Act; strong analytical and investigative skills; excellent communication abilities; and required securities licenses (Series 3, 4, 7, 24, 63). CAMS certification is highly desirable.
Compensation: $120,000–$180,000 base salary plus 15–20% discretionary performance bonus. Benefits include medical/vision/dental, 401(k), 20 paid vacation days plus birthday day, 10 sick days, gym membership reimbursement, commuter benefits, pet insurance, wellness programs, two volunteer days, catered lunch, in-building gym, and Metra shuttle.
