M1 Finance has created a personal wealth-building platform made for the modern era, uniting personal perspective and automated ease. Backed by SoftBank VF.
About the role
We are seeking a Financial Crimes Manager to lead our Fraud and Anti-Money Laundering (AML) function across our self-directed retail broker dealer and SEC-registered investment advisor. This is a hands-on leadership role sitting within the Legal and Compliance function, reporting directly to the Chief Compliance Officer. You will own the end-to-end financial crimes lifecycle, manage a team of Fraud and AML professionals, and serve as the senior escalation point for the firm's most complex investigations.
What they're looking for
- 7+ years of progressive experience in BSA/AML, fraud, or financial crimes compliance, with meaningful experience at a broker dealer, fintech, or other regulated financial institution
- CAMS or CFE/CAFS certification(s) or equivalent required
- Deep working knowledge of the BSA, USA PATRIOT Act, and FinCEN, OFAC, FINRA, and SEC requirements, including SAR drafting, filing, and governance
- Experience managing and developing a team of analysts or investigators
- Experience with transaction monitoring and surveillance systems, including alert tuning, scenario design, and model calibration
- Strong analytical skills and comfort working with data, ability to translate regulatory requirements into scalable operational controls
More about this role
We are seeking a Financial Crimes Manager to lead our Fraud and Anti-Money Laundering (AML) function across our self-directed retail broker dealer and SEC-registered investment advisor. This is a hands-on leadership role sitting within the Legal and Compliance function, reporting directly to the Chief Compliance Officer. You will own the end-to-end financial crimes lifecycle, manage a team of Fraud and AML professionals, and serve as the senior escalation point for the firm's most complex investigations. This is a hands-on leadership role at a growing financial institution where you will shape how technology, data, and advanced analytics are used to detect and prevent financial crime at scale.
- AML Program leadership: Lead the day-to-day execution and continuous enhancement of the firm's AML Program under the direction of the AML Compliance Officer, ensuring compliance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and FINRA, SEC, FinCEN, and OFAC requirements.
- Own the end-to-end FinCrimes lifecycle: Oversee the team's execution across all critical decision points in the financial crimes lifecycle, from new user onboarding through offboarding and funds recovery.
- Customer...
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