• Oversee AML compliance requirements • Ensure compliance with regulatory requirements under the Bank Secrecy Act (BSA), USA PATRIOT Act, FINRA Rule 3310, and other applicable laws impacting the firm. • Coordinate AML activities across the organization to identify areas for program improvement, assist with issue resolution, and implement policies and procedures to mitigate financial crime risk. • As new AML-related rules are passed and existing rules evolve, work with partners to research, interpret, and develop recommendations regarding their impact on the firm’s broker-dealer platforms. • Demonstrate AI literacy by evaluating, adopting, and optimizing artificial intelligence tools to strengthen AML controls, improve transaction monitoring, and support regulatory compliance. • Stay informed on AI-driven advancements relevant to financial crime detection and compliance processes. • Coordinate regulatory training materials related to AML compliance for employees and registered representatives. • Maintain a thorough and up-to-date understanding of AML regulations through ongoing education. • Collaborate and consult with stakeholders to make recommendations on documentation and information necessary to achieve AML compliance goals. • Assist with development, testing, and oversight of AML-related controls for trading and operational platforms. • Apply AI literacy to assess, recommend, and document AML workflows, automate routine compliance tasks, and enhance data analysis capabilities. • Provide guidance to team members on responsible and effective use of AI tools. • Contribute to AML risk assessments and customer risk rating processes. • Develop, analyze, and recommend policy and procedure changes based on business line reviews. • Facilitate periodic reviews of AML processes with content owners to ensure execution aligns with policy. • Support compliance operations related to trade surveillance, sanctions screening, and suspicious activity investigations. • Assist in compliance department functions as needed. • Identify opportunities to improve efficiency in AML workflows. • Document and maintain standard operating procedures (SOPs).