Job Description

Cantor Fitzgerald Securities is seeking an experienced and knowledgeable Financial Crime Compliance Officer, VP. This role is crucial in maintaining the integrity of our organization's financial operations and ensuring compliance with anti-money laundering regulations. The ideal candidate will have a deep understanding of BSA/Patriot Act and financial crimes within a regulated broker-dealer environment, and will bring extensive experience in AML program management and regulatory compliance.

• Prepare for regulatory changes and policy revisions.
• Manage and execute second-line monitoring and assessment for AML compliance.
• Enhance and maintain AML policies, procedures, and surveillance methods.
• Lead the design and implementation of a robust trade surveillance program.
• Manage and refine alerting parameters and exception reports.
• Improve tools for monitoring and reporting suspicious activities.
• Conduct file reviews to ensure compliance with policies.
• Aid in developing a risk assessment framework for customer interactions.
• Provide timely feedback on escalated cases.
• Investigate and resolve AML incidents and cases promptly.

• 7-10 years of experience in AML Compliance and Financial Crimes at a broker-dealer.
• Strong knowledge of USA Patriot Act, BSA, and AML regulations.
• CAMS certification is mandatory.
• Experience in developing and implementing compliance programs.
• Exceptional analytical and investigative skills.
• Superior communication skills for effective collaboration.
• Ability to work independently and as part of a team.
• Adaptable to fast-paced environments.
• Strong organizational skills and attention to detail.
• Law degree is an added advantage.