AGC HR Consulting & Outsourcing Services · 2 months ago
Compliance Officer & AML Manager
Atlanta, GA, Alpharetta, GA, US
Full-time
Onsite
Mid Level
3+ years expAGC HR Consulting & Outsourcing Services is seeking a highly skilled Compliance & AML Manager to support and enhance the firm’s regulatory and anti-money laundering programs. This role requires a detail-oriented professional with strong experience in FINRA compliance and regulatory reporting, responsible for monitoring regulations and managing compliance initiatives.
Human Resources Services
Responsibilities
Monitor proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations) and advise management on impacts
Perform FINRA Branch Office Inspections and prepare corresponding reports
Manage the firm’s Continuing Education Program for Associated Persons
Assist with developing and delivering internal compliance training
Lead customer onboarding processes, including due diligence, account documentation review, and ongoing monitoring
Support AML program activities including transaction monitoring, suspicious activity review, and documentation management
Monitor communications through surveillance platforms (Actimize, Global Relay, Sycamore/Investedge)
Participate in internal audits, regulatory exams, and ongoing compliance initiatives
Review and document FinCEN notices and ensure appropriate follow-up
Qualification
Required
3–5 years of experience in a compliance role within a broker-dealer or financial services firm
FINRA Series 7 required
Strong understanding of FINRA/SEC rules and AML regulatory requirements
Excellent analytical, documentation, and problem-solving skills
Ability to work independently, manage competing priorities, and maintain a high level of confidentiality
Strong communication skills and comfort interacting with regulators, auditors, and internal stakeholders
Company
AGC HR Consulting & Outsourcing Services
AGC Consulting is a company focused on finding solutions to help business owners run their businesses effectively.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Ileana La Luz, PHR
Senior Human Resources Consultant + COO
Company data provided by crunchbase