Robinhood is democratizing access to America’s financial system. Since our public launch in 2015, we’ve cemented our position as the fastest-growing brokerage with millions of users and billions of dollars in transaction volume. Robinhood received recognition with the Apple Design Award, the Google Material Design Award, and named Fast Company’s 11th Most Innovative Company in the World.
We’re backed by top-tier investors such as DST Global, NEA, Index Ventures, Thrive Capital, Ribbit Capital, a16z, and GV, as well as individuals such as Jared Leto, Ashton Kutcher, John Legend, Snoop Dogg, and Nas.
About the Role
The Senior AML Manager will be responsible for daily AML Compliance work and oversight associated with department including AML processes and controls, Identifying potential areas of AML compliance vulnerability, and regulatory reporting functional areas. This includes hiring and managing all staff directly and indirectly through managers and team leaders. They will be responsible for managing regulatory risk, ensuring deadlines and service levels are met, and for compliance with Firm policy, BSA, Fincen guidance, SEC rules, and FINRA regulations. Candidate will be responsible for helping to develop and design departmental processes and guidelines.
As a AML Compliance Manager you will:
- Implementation and Execution of AML Written Supervisory Procedures to comply with all, BSA, SEC and FINRA rules
- Manage and resolve escalated AML issues
- Internal testing of AML compliance in functional areas such as CIP, OFAC, suspicious activity (SAR) monitoring and reporting, fraud prevention and communicating trends and findings to Firms Chief Compliance Officer.
- Fincen 314a inquiries and resolutions
- Fincen 314b inquiries and resolutions
- Cyfin inquiries and resolutions
- Suspicious activity investigations and determinations
Some things we consider critical to being a AML Compliance Manager:
- Bachelor’s Degree or equivalent work experience
- 5+ years working in a broker-dealer AML compliance
- FINRA Series 7 and 24 licenses
- Certified Anti-Money Laundering Specialist (CAMS) designation
- Strong understanding of brokerage operation and compliance functions
- Superior expertise, investigative skills and strong knowledge of BSA, AML, USA Patriot Act, OFAC and privacy laws as they apply to financial institutions, including retail,
- Self-starter with ability to work independently
- Good communication and analytical skills
- Ability to effectively manage multiple priorities and adapt to a changing environment
Nice to haves:
- 8+ years of experience in, AML compliance and controls
- Management experience over some aspect of brokerage operations, compliance and controls
Note to Recruiters and Placement Agencies: Robinhood does not accept unsolicited agency resumes. Please do not forward resumes to any person or email address at Robinhood prior to obtaining a signed agreement from Recruiting/HR. Robinhood is not liable for and will not pay placement fees for candidates submitted by any agency other than its approved recruitment partners. Furthermore, any resumes sent without an agreement in place will be considered your company's gift to Robinhood and may be forwarded to our recruiters for their attention.