Director Aml Compliance Officer, Wealth Management

Overview

• Lead the development and implementation of the Anti-Money Laundering (AML) Program for the U.S. Wealth Management business.
• Collaborate with global AML leadership to ensure compliance with U.S. regulatory standards and jurisdictional alignment.
• Serve as the primary subject matter expert for AML oversight across the U.S. Wealth Management platform.
• Provide guidance and training to management and operational units on AML policies and procedures.
• Enhance transaction monitoring, investigation, and suspicious activity reporting systems to meet high compliance standards.
• Manage AML program enhancement projects and support regulatory inquiries related to AML compliance.
• Conduct periodic reviews of client profiles and oversee onboarding processes for compliance.
• Maintain accurate records of investigative actions and outcomes in line with regulatory requirements.

Key Responsibilities & Duties

• Design and implement comprehensive financial crimes, sanctions, and KYC compliance policies and controls.
• Collaborate with business partners and operations staff to develop effective control infrastructures.
• Issue AML guidance through meetings and formal training programs for staff and management.
• Advise senior management on AML program developments and regulatory changes.
• Conduct investigations and determine outcomes regarding suspicious transaction reports (STRs).
• Support regulatory inquiries and responses concerning AML compliance.
• Lead projects to enhance AML processes and ensure adherence to compliance standards.
• Provide subject matter expertise to operational units and ensure alignment with global AML policies.

Job Requirements

• Bachelor of Arts (BA) degree required; advanced degree in business or law preferred.
• Minimum of 10 years of experience in financial crimes and AML programs; 12 years preferred.
• Significant experience in wealth management or retail brokerage environments.
• ACAMS certification preferred; experience as a manager or team leader is advantageous.
• Exceptional written and verbal communication skills, including presenting to senior management.
• Strong analytical and investigative skills with attention to detail.
• Ability to work independently and collaborate effectively across global teams.
• Sound judgment and ability to operate in a fast-paced, regulated environment.