AML Compliance Officer

RQD is a modern clearing firm offering clearing, custody, and execution solutions designed to meet the needs of today's dynamic market participants. Built on cloud-native, real-time technology, RQD enhances its platform quickly, adapts to regulatory changes, and scales efficiently. The firm supports U.S. equities, options, ETFs, and other securities, serving broker-dealers, FinTechs, RIAs, retail and institutional traders, foreign financial institutions, and proprietary trading firms. Backed by ABN AMRO Bank and Nyca Partners, RQD is finalizing its Series B funding round.

About the role

As we expand, we are seeking an AML Compliance Officer to join our Compliance Team and assist in enhancing our AML and overall Compliance Program. This role involves reviewing client account documentation, performing Customer Identification Program (CIP) checks, investigating AML alerts, filing Suspicious Activity Reports (SARs), and ensuring adherence to regulatory requirements. This is an opportunity to broaden your compliance expertise beyond AML in a fintech startup environment.

Responsibilities

• Assist in directing the firm’s regulatory priorities and compliance program
• Serve as the initial point of contact for client on-boarding, including verifying KYC documentation to ensure compliance with policies and regulatory obligations
• Conduct comprehensive internal compliance reviews, such as wire and ACH surveillance activity exception reports
• Assist in responding to regulatory inquiries and audits
• Draft and update policies and procedures, including Written Supervisory Procedures (WSPs) and AML protocols
• Design and administer periodic AML, sanctions, or regulatory training
• Support internal communication for operations and development teams
• Participate in the firm’s SAR filing process
• Research and monitor sanctions, AML rules, and regulatory updates

Requirements

• 5+ years of experience in AML/Sanctions compliance at a broker-dealer, clearing firm, regulator, or financial services firm
• Proactive self-starter with the ability to work well under pressure
• Experience with SAR filing
• Strong communication skills and ability to collaborate across teams
• Exceptional writing skills
• Experience with 314(a) reviews, CIP, KYC, AML, and Sanctions
• Familiarity with rules from DTCC, OCC, SEC, and FINRA
• Series 7 and 63 licenses (required within the first 6 months of employment)
• ACAMS certification preferred

Preferred Skills

• T-SQL, .NET (C#), and Microsoft Azure Stack
• ComplyAdvantage or Trulioo experience

Benefits

• UnitedHealthcare medical coverage (multiple plan tiers, including HDHP options) — company covers 90% of premium costs from day one
• Dental and vision insurance included
• Health Savings Account (HSA) and Flexible Spending Account (FSA) options
• Paid Time Off: 20 vacation days/year, 6 sick days/year (with carryover), 2 personal days/year, and 1 volunteering day/year
• 401(k) with a 100% match on the first 4% of employee contributions, immediately vested

Pay

The salary range for this position is $120,000 – $160,000. Actual compensation will be determined based on experience, qualifications, and other job-related factors.

RQD Clearing is an equal opportunity employer committed to diversity and inclusion.