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RQD * Clearing LLC
New York, NY
Source: RQD * Clearing LLC careers · View original posting
From RQD * Clearing LLC's posting. “We” and “our” refer to the employer.
AML Compliance Officer
5+
Years
New York, NY (Hybrid)
Chief Compliance Officer
RQD* is a modern clearing firm that offers clearing, custody, and execution solutions designed to meet the needs of today's dynamic market participants. Built entirely on cloud-native, real-time technology, RQD can quickly and seamlessly enhance its platform, adapt to regulatory changes, and offer a more efficient implementation that scales as clients grow. In addition to portfolio margin, RQD supports U.S.
equities, options, ETFs, and other securities, catering to broker-dealers and FinTechs, including RIAs, that service retail, institutional, and active traders, foreign financial institutions, and proprietary trading firms. RQD Clearing is proud to be backed by our current investors, ABN AMRO Bank and Nyca Partners, and we are currently in the process of finalizing our Series B round of funding.
This is an opportunity to work for a fintech start-up and to be an integral part of growing a broker-dealer from the ground up. As a small, hardworking team, we pride ourselves on our entrepreneurial culture and cross-team collaboration.
As we continue to expand our reach, we are seeking an AML Compliance Officer to join our Compliance Team to assist in the expansion and enhancement of our AML and overall Compliance Program. In this position, you will be responsible for reviewing client account documentation, performing CIP, reviewing negative news, conducting follow up with Correspondents, investigating and dispositioning AML alerts, filing SARs, reviewing sanctions and assisting to ensure adherence with regulatory requirements and guidelines. This is a prime
opportunity for someone looking to broaden their skillset and expand their compliance knowledge outside of just the AML arena.
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.
Compensation
$120,000 — $160,000 USD
RQD is an equal opportunity employer. We are committed to building a team with diverse backgrounds, experiences, and perspectives. Employment decisions are made without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other status protected by applicable law.
LAYIQ is an independent job-discovery service. This listing does not imply a partnership with or endorsement by the employer. Review the original posting for current details and availability.
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