VP, Financial Crimes Compliance Manager
Location: Jacksonville, FL
In-Office
Company Overview
Cantor Fitzgerald is a leading global financial services firm known for its commitment to excellence, innovation, and integrity. We are seeking a highly skilled professional with extensive expertise in BSA/Patriot Act compliance and financial crime prevention within a regulated broker-dealer environment.
Position Summary
This individual will be responsible for managing and maintaining the firm’s obligations related to the supervision, detection, and reporting of potential money laundering and financial crime activities. The ideal candidate will bring significant experience in AML program management, surveillance analytics, and regulatory compliance, along with the ability to drive operational excellence and collaborate effectively across Compliance, Risk, Legal, Operations, and Technology functions.
Reports To:
Head of U.S. Financial Crime Compliance
Key Responsibilities
- Lead the execution and oversight of the firm’s AML compliance monitoring and assessment program, ensuring alignment with regulatory expectations.
- Develop, enhance, and maintain AML policies, procedures, and surveillance methodologies across all business lines and jurisdictions.
- Design and implement trade surveillance programs to detect and mitigate potential financial crime risks.
- Manage and optimize surveillance systems, including alert thresholds, exception reports, and escalation processes.
- Conduct and oversee investigations of suspicious activity, ensuring proper documentation, escalation, and reporting.
- Coordinate the preparation and filing of Suspicious Activity Reports (SARs) and ensure timely and accurate completion.
- Support the development of risk assessment frameworks to evaluate customer activity and firm exposure.
- Identify and remediate control gaps through collaboration with cross-functional teams, ensuring all incidents are properly logged and addressed.
- Assist in regulatory exam preparation, policy revisions, and implementation of new compliance requirements.
- Provide training and awareness programs to strengthen firmwide understanding of AML and financial crime risks.
Qualifications
- 7–10 years of experience in AML compliance and/or financial crimes within a broker-dealer or financial institution.
- CAMS certification required. Law degree a plus
- Strong working knowledge of the Bank Secrecy Act (BSA), USA PATRIOT Act, and other relevant AML laws and regulations.
- Proven experience in designing and implementing AML compliance programs and surveillance frameworks.
- Excellent analytical, investigative, and problem-solving skills.
- Strong communication and presentation abilities, both written and verbal.
- Self-motivated team player with the ability to work independently in a fast-paced environment.
- Exceptional organizational skills and attention to detail.
** No Relocation Assistance available
** No Sponsorship available
** No Vendor resumes will be accepted at this time
