Connecting linkedin



FIU Compliance Manager

  • Location

    Chicago, IL

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Robert Soble

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    6 months ago

  • Expiry date:


  • Startdate:


We're working with a global financial services firm who are looking for an FIU Compliance Manager to join their team in a fast-paced, high-growth environment. 

This is a mid-level management position with room for growth for highly motivated and exceptional performers. Team Leads will report to a Compliance Unit Head and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.


  • Oversee and train a team of analysts responsible for monitoring reviews and investigations.
  • Monitor and manage daily investigative workflow, controls, and results metrics for the team, and ensure timely completion of tasks.
  • Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
  • Conduct supervisory reviews and provide constructive coaching and direction to team members.
  • Evaluate risk associated with AML and Financial Crime Risk processes and recommend enhancements, where appropriate
  • When needed, support and participate in internal, external, and regulatory audits and examinations.

Qualifications, Skills & Attributes

  • 3-5+ years of experience in investment management/AML compliance, preferably at a large broker or other financial institution with an international customer base.
  • 2+ years of management experience.
  • Solid academic background. Bachelor’s Degree or commensurate military experience
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
  • Outstanding leadership, communication, analytical, and project management skills.
  • Willingness and ability to obtain financial registration exams promptly
  • Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24 are highly preferred

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with competitive company match
  • Excellent health and welfare benefits including medical, dental, and vision benefits
  • Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
  • Paid time off and a generous parental leave policy
  • Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
  • Corporate events including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with sit/stand desks and multi-monitor setups

For more information, please contact Robby Soble at Hamyn Williams at