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Lead Registered Compliance Officer – Anti-Money Laundering
Transamerica. Lead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive knowledge of AML laws and regulations, with a strong ability to lead compliance monitoring, testing, and remediation strategies. Proficient in evaluating business processes and advising stakeholders on complex compliance risks and controls.
Highest-signal resume keywords
AML Compliance ExpertiseRegulatory Compliance LeadershipRisk Management ExperienceAdvanced Communication SkillsFINRA Series 7 and 24 or 6 and 26
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance MonitoringRisk-Based AssessmentsTransaction MonitoringControl EvaluationsIssue RemediationRegulatory ResponsesProgram EnhancementsTesting and ReviewsSecurities ComplianceFinancial Services Compliance
Soft Skills
Influencing SkillsCoaching and TrainingInformal LeadershipJudgment and Independence
Tools & Technologies
Microsoft OfficeCompliance SystemsWorkflow ToolsSurveillance SystemsCase Management SystemsReporting ToolsDocument Management Systems
Certifications & Qualifications
FINRA Series 7FINRA Series 24FINRA Series 6FINRA Series 26FINRA Series 65FINRA Series 66CAMSCFCS
Industry Keywords
AMLFinancial CrimeBroker-Dealer ComplianceInvestment ComplianceRegulatory GuidanceInternal AuditCompliance ControlsSecurities RegulationsRisk ManagementCompliance Reviews
About the role
Key responsibilities & impact- Lead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations
- Evaluate business processes, policies, procedures, communications, transactions, complaints, disclosures, and assigned activities for risks, trends, and control gaps
- Interpret applicable laws, regulations, regulatory guidance, firm policies, and procedures and advise stakeholders
- Lead AML reviews involving transaction monitoring, exception reporting, investigations, escalations, suspicious activity, compliance risks, and program enhancements
- Coordinate responses to regulatory examinations, inquiries, internal reviews, audits, investigations, and information requests
- Evaluate findings, root causes, corrective action plans, recurring issues, and remediation strategies
- Serve as an AML subject matter resource to business partners, compliance stakeholders, and management
- Influence AML remediation strategy, control design, policy updates, training, tools, procedures, and implementation decisions
- Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, and enterprise initiatives
- Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing
Requirements
What you’ll need- Bachelor’s degree in business, legal studies, risk management, compliance or related field
- 7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
- 4+ years of experience supporting AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
- FINRA Series 7 and 24 or 6 and 26, dependent on broker-dealer activities; or obtain within 6 months of job entry date
- Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, and related compliance controls
- Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiatives
- Experience leading AML supervisory controls, testing, monitoring, or issue remediation
- Advanced communication and influencing skills, including advising stakeholders and communicating complex risks and recommendations
- Ability to work with significant independence and judgment
- Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems
- Legal authorization to work in the U.S. without immigration sponsorship
- Preferred: FINRA Series 65 or 66, or other FINRA registrations
- Preferred: CAMS, CFCS, or another relevant AML or financial-crime compliance certification
Benefits
Comp & perks- Competitive Pay
- Bonus for Eligible Employees
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Paid Time Off starting at 160 hours annually for employees in their first year of service
- Ten (10) paid holidays per year
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service
- Adoption Assistance
- Employee Assistance Program
- Back-Up Care Program
- PTO for Volunteer Hours
- Employee Matching Gifts Program
- Employee Resource Groups
- Inclusion and Diversity Programs
- Employee Recognition Program
- Referral Bonus Programs