Compliance Manager - Anti-Money Laundering (Aml)

At Piper Sandler, we connect capital with opportunity to build a better future.
We believe diverse teams with unique backgrounds, skills and experiences yield more innovative solutions. Our mission is to recruit, develop, retain and engage a diverse, high-performing team. Our business enables bright, committed people working in partnership within an environment that allows each person to achieve at a high level. We commit to encouraging and valuing inclusivity because every partner brings unique perspectives that help us better serve our clients.
We are currently looking for a Compliance Manager to join our Anti-Money Laundering (AML) team in Minneapolis, MN.
This position will report to the Chief AML Officer and will support key Business and Compliance initiatives by working closely with all areas of the organization in furtherance of the Firm's AML program. The Compliance Department is an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm's system of supervision and control.
Responsibilities:

• Conduct securities transaction surveillance and client account reviews for red flags and suspicious activity
• Collaborate with the Chief AML Officer team in identifying potential risks and determine how to mitigate
• Assist the Investment Banking group with general inquiries and conduct client AML screening
• Work with the Account Opening group as new accounts are opened that may present AML risk factors
• Communicate with our partners in Operations in the ongoing testing and ad hoc issues related to the customer identification program
• Participate in the AML risk assessment update process
• Work with our client screening vendor to ensure data feeds are working properly and complete the review and distribution of information returned from the vendor
• Participate in the development of annual AML training and targeted training courses
• Identify potential issues through compliance testing and analysis
• Assist with reviews, employee questionnaires and training related to the anti-bribery program
• Ability to draft Suspicious Activity Report (SAR) and support the Chief AML Officer with other duties as needed

Basic Qualifications:

• Bachelors' degree required - Business, Finance, or other relevant field
• 5 years of relevant experience
• FINRA Licenses: SIE and Series 7 (or ability to obtain within 12 months)
• Strong understanding of AML requirements for Broker-Dealers
• Strong technology skills: Excel, Word, Tableau, other securities transaction surveillance systems

Preferred Skills / Experience:

• CAMS Certification
• Ability to interact effectively across departments for effective collaboration
• Ability to prioritize and meet deadlines in a fast paced environment
• Ability to be solution oriented with strong problem-solving skills
• Ability to critically think through complicated problems and issues

As a leading investment bank, we enable growth and success for our clients through deep sector expertise, candid advice and a differentiated, highly productive culture.
Our human capital, technology, marketing and other corporate support teams work with our business partners to maximize each employee. We understand the dynamic nature of the industry and work alongside our company strategies. Learn more about our firm here .
Piper Sandler values a strong culture dedicated to the emotional and physical well-being of our employees. Learn more about our commitment to our employee's health and well-being. Learn more about our benefits program and how we are here for our employees and their families today, tomorrow and beyond.
All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, gender identity, national origin, disability, age, marital status, status as a protected veteran or status with regard to public assistance.
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