Anti-Money Laundering Officer (AMLO) J.W. Cole Financial, Inc. - 3.5 Tampa, FL Job Details Full-time From $100,000 a year 11 hours ago Benefits Health savings account Health insurance Dental insurance 401(k) Flexible spending account Paid time off Employee assistance program Vision insurance 401(k) matching Life insurance Qualifications KYC Microsoft Excel Microsoft Outlook Anti-money laundering High school diploma or GED Documentation tools Attention to detail Project leadership AML Certificate Full Job Description J.W. Cole Company Profile J.W. Cole is a growing and robust Tampa-based Investment Adviser and Broker-Dealer, providing outstanding advisory, operational, product, compliance, and practice services and support to approximately 500 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business, as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff. Anti-Money Laundering Compliance Officer J.W. Cole Financial, Inc. is seeking a highly motivated, creative, solutions-oriented, and proactive professional to join our Firm, as its Anti-Money Laundering Officer ("AMLO")! The ideal candidate will have a strong background in the financial services industry and considerable experience in AML and BSA compliance in a decision-making capacity. They will have a demonstrated ability to apply anti-money laundering regulations to customer identification and activity across Broker-Dealer and Registered Investment Adviser platforms. This candidate will provide expertise and creativity to help drive internal initiatives, while effectively consulting with our Financial Professionals as business partners to coach, educate and identify solutions. As such, the role requires an individual who can identify opportunities, develop solutions, create efficiencies, drive improvements, and achieve successful results, It is critical that the candidate be able to work in a dynamic and diverse environment, growing the firm's successful and evolving compliance program while mitigating risks. Accordingly, we are seeking a driven candidate who enjoys overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties. Responsibilities Program Governance & Strategy

• Execute and evolve the Firm's AML, compliance and governance programs in alignment with changing regulatory requirements and financial crime typologies.
• Attend relevant AML Conferences and subscribe to relevant information sources to stay abreast of regulatory changes and financial crime typologies relevant to the Firm's business model. Make timely modifications to the program as warranted.
• Test and remediate deficiencies. Conduct risk assessments and update and translate those into policies and procedures, transaction monitoring controls and enhanced due diligence processes. Report regularly to management regarding AML program status, metrics, risk trends, remediation activities and other AML/compliance initiatives.
• Ensure regulatory reporting requirements are met, documented and accurately produced including but not limited to the required Block Assets Report and Annual Testing.
• Retain required records for accurate production to all regulatory inquiries and audits.
• Immediately report backlogs and potential new risk areas to DCCO. Operations & Investigation
• Execute daily automated transaction monitoring across brokerage and advisory platforms, investigate red flags, analyze complex alerts, identity discrepancies, and financial crime typologies. Maintain meticulous case files.
• Research and resolve identity discrepancies, exceptions, and other red flags. Maintain clear and accurate documentation of investigations, findings, and resolution decisions.
• Restrict accounts, report to FINRA as required on restrictions and ensure all regulatory deadlines and rule requirements are adhered to.
• Perform deep-dive data verification of client PII (SSNs, TINs, DOBs, addresses) using a mix of internal databases and third-party verification tools.
• Conduct OFAC, sanctions, watchlists, and other screening on customers and financial professionals.
• Draft Suspicious Activity Reports (SARs) for timely filing and immediately escalate high-risk cases to leadership.
• Participate in the Firm's Vulnerable Client program at the direction of management.
• Work across corporate teams to understand potential threats to the firm and/or anticipate and identify future needs, opportunities, and potential compliance solutions. Training & Advisory Support
• Develop and deliver creative and engaging annual

AML/BSA/CTF

training programs with direct, actionable compliance guidance for staff (front‑office, operations, advisors, trading desk). This includes but is not limited to red flags by department, sanctions requirements and complex risk typologies relevant to the Firm's business model.

• Partner with financial professionals and corporate teams to proactively identify, coach, and mitigate compliance and regulatory vulnerabilities.
• Oversee temporary contract workers in their assigned project work, when applicable. Requirements
• This position is performed primarily in a professional office environment. Essential functions of the position require prolonged periods of sitting, working at a computer, and communicating with others in person, by telephone, and electronically. The position may also require occasional standing, walking, bending, and lifting or carrying items weighing up to 10 pounds.
• Proficiency with Microsoft Office including Excel, Word, and Outlook is required.
• Experience with Redtail or similar CRM/database is preferred.
• J.W. Cole provides reasonable accommodations for qualified individuals with disabilities, enabling them to perform the essential functions of the position, unless doing so imposes an undue hardship on the Company.
• This is a full-time, on-site position requiring attendance in the office five (5) days per week.

Given the importance of team dynamics and our partnering culture, candidates seeking a remote position will not be considered.

Qualifications/Registration/License/Certification/Education:

• ACAMS or Similar Designation (Preferred)
• 5+ years of AML experience within a broker-dealer, RIA, wealth management firm, bank, or other regulated financial institution
• High-Level AML Activities with

Decision Making:

3 years (Required)

• Utilize strong investigative and analytical skills while conducting investigative research utilizing third-party identity verification, AML screening, and trade review systems.
• Ability to identify discrepancies and red flags and appropriately document and escalate findings.
• Ability to manage a high volume of reviews in a deadline-driven environment with a strong attention to detail
• FINRA Series 7 and 24 (Preferred)
• Knowledge of securities and industry regulations.
• Must be highly motivated, passionate, energetic, and driven with a willingness to spearhead projects.
• Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions. U.S. Eligibility Requirements
• Must be 18 years of age or older.
• Must be legally authorized to work in the United States at the time of hire.
• J.

W. Cole does not sponsor employment visas for this position.

Job Type and Schedule:

Full Time Salaried Position, Monday to

Friday Work Location:

In person, on-site in Tampa, FL.

Pay:

From $100,000.00 per year

Benefits:

401(k) 401(k) matching Dental insurance Employee assistance program Flexible spending account Health insurance Health savings account Life insurance Paid time off Vision insurance Application Question(s): Do you have 5+ years of AML experience within a broker-dealer, RIA, wealth management firm, bank, or other regulated financial institution Do you have 3 years of High-Level AML Activity Experience with Decision Making Authority Ability to

Relocate:

Tampa, FL 33634: Relocate before starting work (Required)

Work Location:

In person