Iowa Licensed Compliance Director

Job Summary

Supporting the Enterprise Financial Crimes team, the full-time salaried Iowa Licensed Compliance Director will manage AML programs, coordinate governance activities, and collaborate with various teams to ensure compliance with regulatory obligations, while working remotely from Des Moines, Iowa.

Key responsibilities

• Oversee and enhance AML programs, coordinating core activities such as risk assessments and governance reporting
• Collaborate with compliance, legal, risk, and business teams globally to implement AML controls and program requirements
• Support regulatory examinations and audits by organizing documentation and monitoring remediation efforts

Required qualifications

• Bachelor's degree or equivalent with 8+ years of experience in AML or regulatory compliance
• Demonstrated experience administering regulatory compliance programs and conducting risk assessments
• Strong understanding of AML regulatory requirements for broker-dealers and registered investment advisers
• Experience in developing management reporting and governance materials
• Knowledge of compliance technologies and process improvements, including AI and automation