Top 29 Aml Jobs in Phoenix, Az

Financial and Operations Principal (FINOP)
Alpine Securities Corporation —Paradise Valley, AZ
- $84,738.15 - $102,050.24 a year
- Full-time
- 7 years
- CPA
- Office
- Paid holidays
- Health insurance
Quick Apply
9h
Anti-Money Laundering / Customer Due Diligence Analyst [210359]
Aquent Talent —Phoenix, AZ
- $40.00 - $41.87 an hour
- Hybrid work
- 5 years
- Data analysis skills
- Office
- Health insurance
- Dental insurance
Analyst-Compliance; Control Testing
American Express —Phoenix, AZ
- $65,500 - $102,500 a year
- Full-time
- Hybrid work
- Microsoft Word
- Mid-level
- Bachelor's degree
- Paid parental leave
- Health insurance
14d
Analyst-Compliance; Event Resolution
American Express —Phoenix, AZ
- $65,500 - $102,500 a year
- Full-time
- Hybrid work
- Microsoft Word
- Mid-level
- Bachelor's degree
- Paid parental leave
- Health insurance
14d
Fraud Analyst
OneAZ Credit Union —Phoenix, AZ
- $56,823.44 - $71,029.30 a year
- Mid-level
- Office
- 3 years
- Paid holidays
- Loan repayment program
Quick Apply
3d
Business Risk Specialist - AML
U.S. Bank National Association —Tempe, AZ
- $22.50 - $30.00 an hour
- Full-time
- Word processing
- Mid-level
- Office
- Paid holidays
- Disability insurance
AML Analyst
Kestra Financial —Tempe, AZ
- Full-time
- Microsoft Outlook
- Research
- Mid-level
- Health insurance
- 401(k)
Quick Apply
13d
BSA AML Program Manager
Transact Campus —Scottsdale, AZ
- $110,000 - $150,000 a year
- Full-time
- 7 years
- Office
- Senior level
- Health savings account
- AD&D insurance
Quick Apply
Internal Revenue Agent (Bank Secrecy Act Examiner)
US Internal Revenue Service —Glendale, AZ
- $63,046 - $100,315 a year
- Online Application
- Hybrid work
- Background check
- 18 years or older
- CPA
6d
GFC Investigator (Brokerage - AML)
Bank of America —Phoenix, AZ
- $68,500 - $102,000 a year
- Full-time
- 5 years
- Writing skills
- Office
Senior Investigative Specialist
Edward Jones —Tempe, AZ
- $74,600 - $122,800 a year
- Full-time
- Hybrid work
- CPA
- Mid-level
- Office
- Profit sharing
- Health savings account
Quantitative Model Analyst 3 - AML
U.S. Bank National Association —Tempe, AZ
- $98,175 - $115,500 a year
- Full-time
- Writing skills
- Mid-level
- Office
- Paid holidays
- Disability insurance
J.P. Morgan Wealth Management - Associate, Client Safeguarding Lead
JPMorganChase —Tempe, AZ
- $64,600 - $87,500 a year
- Full-time
- Research
- Continuous improvement
- Experience equivalent to degree accepted
- Health insurance
- Tuition reimbursement
Analyst-Compliance - Model Tool Automation Control
American Express —Phoenix, AZ
- $65,500 - $102,500 a year
- Full-time
- Hybrid work
- Microsoft Word
- Mid-level
- Bachelor's degree
- Paid parental leave
- Health insurance
14d
Manager-Compliance -Skills & Training Assessment– Financial Crimes Training
American Express —Phoenix, AZ
- $89,250 - $150,250 a year
- Full-time
- Hybrid work
- Analysis skills
- Bachelor's degree
- US work authorization
- Paid parental leave
- Health insurance
5d
AML/ KYC Quality Assurance Lead, Digital Asset Banking
Western Alliance Bank —Phoenix, AZ
- Full-time
- 7 years
- Office
- Finance
- Wellness program
- Health insurance
Staff IT Analyst III – AML and Fraud
Western Alliance Bank —Phoenix, AZ
- Full-time
- 7 years
- Azure
- Office
- Wellness program
- Health insurance
Manager - Compliance; Workforce Planning
American Express —Phoenix, AZ
- $89,250 - $150,250 a year
- Full-time
- Hybrid work
- Analysis skills
- US work authorization
- Fair chance
- Paid parental leave
- Health insurance
10d
Sr Manager, Global Financial Crimes Compliance – Global Transaction Monitoring
American Express —Phoenix, AZ
- $103,750 - $174,750 a year
- Full-time
- Hybrid work
- SQL
- Analysis skills
- Mentoring
- Paid parental leave
- Health insurance
14d
Chief Compliance Officer
Western Alliance Bank —Phoenix, AZ
- Full-time
- Writing skills
- 11+ years
- Office
- Wellness program
- Health insurance
5d

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aml jobs near phoenix, az

Financial and Operations Principal (FINOP)

Alpine Securities Corporation -
Paradise Valley, AZ

Quick Apply

Job Details

Full-time
$84,738.15 - $102,050.24 a year
9 hours ago

Benefits

Paid holidays
Health insurance
Dental insurance
Paid time off
Vision insurance

Qualifications

Accounting systems
Sage
Securities & Exchange Commission
Securities law compliance support experience
Securities law
Financial accounting
FINRA License
Experience at securities companies
Trade settlement

Full Job Description

Location: Salt Lake City UT / Scottsdale Az

Employment Type: Full-Time

Reports To: Chief Financial Officer / Chief Operating Officer

FINRA Registration Required: Series 27 (Series 24 and/or 99 a plus)

ABOUT THE ROLE

We are seeking an experienced Financial and Operations Principal (FINOP) to oversee the financial, regulatory, and operational compliance functions of our broker-dealer. The ideal candidate has hands-on experience in both self-clearing and correspondent clearing environments and understands the operational nuances, regulatory obligations, and risk considerations unique to each. This is a high-visibility role that partners closely with executive leadership, compliance, operations, and outside auditors/regulators.

KEY RESPONSIBILITIES

Serve as the firm's designated FINOP, maintaining continuous compliance with SEC Rule 15c3-1 (Net Capital) and Rule 15c3-3 (Customer Protection/Reserve Formula).
Prepare and file all required regulatory reports, including FOCUS Reports (Parts I and IIA), Form Custody, annual audited financial statements, and quarterly SCE Section 17H financials.
Oversee daily customer reserve computations, segregation of customer securities, and stock record reconciliation.
Manage clearing operations functions, including DTCC/NSCC settlement, fails management, buy-ins, and securities movement reconciliations.
Administer and maintain correspondent clearing agreements; serve as primary liaison to introducing broker-dealers on settlement, margin, account transfer (ACATS), and clearing-related issues.
Lead due diligence and onboarding for new correspondent/introducing firms, evaluating capital adequacy and operational readiness.
Maintain books and records in accordance with SEC Rules 17a-3 and 17a-4.
Serve as primary point of contact for FINRA, SEC, and DTCC examinations and inquiries; manage exam responses and remediation.
Develop, update, and enforce written supervisory procedures (WSPs) related to financial and operational controls.
Partner with IT, Operations, and Compliance to strengthen internal controls, automate reconciliations, and reduce operational risk.
Conduct periodic risk assessments, capital stress testing, and liquidity monitoring.

REQUIRED QUALIFICATIONS

Active Series 27 license (Financial and Operations Principal) required.
Minimum 7–10+ years of broker-dealer financial and operations experience, including direct FINOP responsibilities.
Demonstrated experience working within both a self-clearing firm and a correspondent clearing firm (or a firm servicing introducing broker-dealers).
Deep working knowledge of net capital computations, reserve formula calculations, and FOCUS/Form Custody reporting.
Strong understanding of DTCC/NSCC settlement processes, stock record functions, and fails/buy-in management.
Experience managing regulatory examinations and relationships with FINRA and/or the SEC.
Proven ability to evaluate and onboard correspondent/introducing broker-dealer relationships.
Strong Excel skills; experience with clearing/back-office platforms (e.g., Phase 3 /Broadridge/BPS, Fidessa, Beta Systems, or similar). Sage accounting software.

PREFERRED QUALIFICATIONS

Series 7, 24, 63, and/or 99 licenses.
Bachelor’s degree in accounting, Finance, or related field; CPA a plus.
Experience with SQL or other data/reporting tools.
Prior experience leading or participating in Rule 17a-5 annual audits.
Familiarity with AML program requirements related to financial operations.
WHAT WE OFFER
Competitive base salary
Comprehensive health, dental, and vision benefits
Paid time off and holidays
A collaborative, growth-oriented team environment with direct exposure to firm leadership

TO APPLY

Please submit your resume and a brief cover letter to [contact email/link]. Applications will be reviewed on a rolling basis.
Alpine Securities Corporation is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

Pay: $84,738.15 - $102,050.24 per year

Benefits:

Dental insurance
Health insurance
Paid time off
Vision insurance

Work Location: In person

Quick Apply

Refine Your Search

aml jobs in phoenix, az

Financial and Operations Principal (FINOP)

Anti-Money Laundering / Customer Due Diligence Analyst [210359]

Analyst-Compliance; Control Testing

Analyst-Compliance; Event Resolution

Fraud Analyst

Business Risk Specialist - AML

AML Analyst

BSA AML Program Manager

Internal Revenue Agent (Bank Secrecy Act Examiner)

GFC Investigator (Brokerage - AML)

Senior Investigative Specialist

Quantitative Model Analyst 3 - AML

J.P. Morgan Wealth Management - Associate, Client Safeguarding Lead

Analyst-Compliance - Model Tool Automation Control

Manager-Compliance -Skills & Training Assessment– Financial Crimes Training

AML/ KYC Quality Assurance Lead, Digital Asset Banking

Staff IT Analyst III – AML and Fraud

Manager - Compliance; Workforce Planning

Sr Manager, Global Financial Crimes Compliance – Global Transaction Monitoring

Chief Compliance Officer

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