Base: $100,000 to $110,000 annually; bonus/equity:...
On-site
Trade surveillance experience
Aml and sanctions compliance
Team management skills
The Compliance Manager will oversee a team of analysts responsible for reviewing surveillance alerts and conducting investigations into trade practice violations
Job Summary
The Compliance Manager will oversee a team of analysts responsible for reviewing surveillance alerts and conducting investigations into trade practice violations.
This hybrid role requires the candidate to report to the Deputy Director of Trade Surveillance while ensuring compliance with the Bank Secrecy Act and USA PATRIOT Act.
The company offers a competitive salary range of $100,000 to $110,000 annually along with stock grants, performance bonuses, and comprehensive health benefits.
Matching Summary
The Compliance Manager will oversee a team of analysts responsible for reviewing surveillance alerts and conducting investigations into trade practice violations.
Salary
Base: $100,000 to $110,000 annually; Bonus/Equity: Discretionary cash bonus and stock award; Benefits: 401(k) match, medical/dental/vision, tuition reimbursement
Skills & Requirements
Must-have
Trade surveillance experience
AML and sanctions compliance
Team management skills
SAR review and approval
Regulatory audit support
Nice-to-have
Strong analytical problem-solving
Technology application understanding
Self-motivated independent worker
Excellent verbal communication
Outstanding organizational skills
Key Requirements
3 to 5+ years in trade surveillance
2+ years of management experience
Bachelor's degree in Finance or related field
CAMS or Series 7/24 certification preferred
Willingness to obtain financial registration exams