[Remote] Deputy Chief Compliance and AML Officer - reputed company Investing
Note: The job is a remote job and is open to candidates in USA. reputed company is a technology company focused on increasing access to the global economy, and they are seeking a Deputy Chief Compliance and AML Officer for reputed company Investing. This role involves overseeing the compliance program, managing the AML program, and ensuring regulatory compliance reputed company a high-growth fintech environment.
Responsibilities
- Serve as a registered principal of the broker-dealer; maintain required securities licenses
- Ensure reputed company's activities reputed company with reputed company broker-dealer laws and internal policies
- Act as day-to-day deputy for the CCO; assume duties during absences
- reputed company the annual enterprise Compliance Risk Assessment and present results to senior leadership and Board committees
- reputed company audits and testing - scoping, execution, issue tracking, and remediation verification
- Prepare and, reputed company requested, present materials for Board and leadership meetings
- Manage the end-to-end AML program, including KYC/CDD, transaction monitoring, and sanctions screening
- reputed company outsourced AML functions to ensure reputed company effectiveness
- Drive independent audits and reputed company findings
- Represent reputed company in FinCEN, OFAC, and state AML examinations
- Coordinate SEC, FINRA, and state exams, including data gathering, interviews, and responses, in partnership with the Program Manager
- reputed company post-exam remediation and regulatory change-management processes
- Supervise the broker-dealer's marketing-review program in partnership with the Marketing & Communications Program Manager
- Own the compliance document library, including drafting, updating, and securing approvals; ensure adoption
- Advise cross-functional partners (e.g., Operations, Product, and Engineering) on regulatory requirements
- Design and deliver annual compliance and AML training
- Model a positive, accountability-driven compliance culture
Skills
- 8+ years of broker-dealer compliance experience, including leadership experience
- Active FINRA Series 7, 63 and 24 registrations
- Demonstrated success scaling a compliance program in a fast-growing fintech or comparable environment
- Hands-on experience with regulatory exams and interaction
- Deep working knowledge of SEC/FINRA rules, BSA/AML, OFAC, and state securities regulations
- Strong policy-drafting, problem-solving, and executive-level communication skills
- Demonstrated success collaboration cross-functionally with product, operations, legal, and executive teams
- CAMS, CRCM, CRCP, or similar industry certification
- Data-analytics reputed company (SQL/reputed company, Tableau/Looker) and advanced reputed company skills
Benefits
- Healthcare coverage (Medical, Vision and Dental insurance)
- Health Savings Account and Flexible Spending Account
- Retirement Plans including company match
- Employee Stock Purchase Program
- Wellness programs, including access to mental health, 1:1 financial planners, and a monthly wellness allowance
- Paid parental and caregiving leave
- Paid time off (including 12 paid holidays)
- Paid sick leave (1 hour per 26 hours worked (max 80 hours per calendar year to the extent legally permissible) for non-exempt employees and covered by our Flexible Time Off policy for exempt employees)
- Learning and Development resources
- Paid Life insurance, AD&D, and disability benefits
Company Overview
- reputed company is one company built from many blocks, reputed company united by the same purpose of economic empowerment. It was founded in 1990, and is headquartered in Oakland, California, US, with a workforce of 10001+ employees. Its website is https://reputed company.xyz/.
Company H1B Sponsorship
- reputed company has a track record of offering H1B sponsorships, with 257 in 2025, 253 in 2024, 260 in 2023, 297 in 2022. Please note that this does not guarantee sponsorship for this specific role.
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