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Series Seven Aml Jobs (NOW HIRING)

Kestra Holdings

AML Analyst

Tempe, AZ · On-site

As an AML Analyst, you will proactively interact with various departments within Kestra and third ... Series 7 required * Series 24 required (or obtained within 90 days of employment) Internal ...

RQD * Clearing LLC

AML Compliance Officer

New York, NY · On-site

$120K - $160K/yr

AML Compliance Officer Experience: 5+ Years Location: New York, NY (Hybrid) Reporting To: Chief ... SIE, Series 7 and 63 (within the first 6 months of joining) * ACAMS preferred * 5+ years related ...

Stifel

AML CIU Compliance Analyst II

Coral Gables, FL · On-site

FINRA SIE, Series 7, and Series 63 are preferred. * CAMS is preferred. Systems & Technology * Proficient in Microsoft Office, including Outlook, Word, Excel, and PowerPoint. * AML software, Capital ...

moomoo

Director, Compliance (AML)

Dallas, TX · On-site

FINRA Series 7 license active at time of hire * CAMS certification active at time of hire * Series 24 license active or ability to obtain within 4 months of hire * In-depth knowledge of BSA/AML ...

moomoo

Director, Compliance (AML)

Jersey City, NJ · On-site

FINRA Series 7 license active at time of hire * CAMS certification active at time of hire * Series 24 license active or ability to obtain within 4 months of hire * In-depth knowledge of BSA/AML ...

moomoo

Director, Compliance (AML)

Dallas, TX · On-site

FINRA Series 7 license active at time of hire * CAMS certification active at time of hire * Series 24 license active or ability to obtain within 4 months of hire * In-depth knowledge of BSA/AML ...

moomoo

Director, Compliance (AML)

Dallas, TX

FINRA Series 7 license active at time of hire * CAMS certification active at time of hire * Series 24 license active or ability to obtain within 4 months of hire * In-depth knowledge of BSA/AML ...

moomoo

Director, Compliance (AML)

Jersey City, NJ

FINRA Series 7 license active at time of hire * CAMS certification active at time of hire * Series 24 license active or ability to obtain within 4 months of hire * In-depth knowledge of BSA/AML ...

AGC Consulting

PR · On-site

FINRA Series 7 certification is required . * FINRA Series 24 certification is also required or ... Familiarity with FINRA, SEC, and AML regulations * Ability to understand complex rules and ...

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All JobsFinance and Insurance JobsBank JobsBank Examiner JobsSeries Seven Aml Jobs

Series Seven Aml information

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$38

$58

$87

How much do series seven aml jobs pay per hour?

As of Aug 26, 2026, the average hourly pay for series seven aml in the United States is $58.83, according to ZipRecruiter salary data. Most workers in this role earn between $48.80 and $67.07 per hour, depending on experience, location, and employer.

What is the difference between Series Seven Aml vs Series Six?

AspectSeries Seven AmlSeries Six
Required CertificationsSeries Seven, AML certificationSeries Six, AML certification
Work EnvironmentBroker-dealer firms, securities firmsInvestment advisory firms, broker-dealers
Industry UsageFinancial services, securities tradingFinancial services, investment products
Common Search/ComparisonSeries Seven Aml vs Series Six

Series Seven Aml and Series Six are both essential certifications in the financial industry, often required for professionals involved in securities trading and investment advisory roles. While Series Seven focuses on a broad range of securities transactions, Series Six is more specialized in mutual funds and variable annuities. Both roles require AML compliance knowledge, but their primary functions and work environments differ slightly. Understanding these distinctions helps professionals choose the right certification path for their career goals.

What jobs can you get with your Series Seven AML?

A Series Seven AML certification qualifies individuals for roles such as securities broker, financial advisor, or compliance analyst, primarily in the financial services industry. These roles involve client interaction, trading, and ensuring adherence to anti-money laundering regulations, often requiring knowledge of financial regulations and use of compliance tools.
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Series Seven Aml jobs near you
Infographic showing various Series Seven Aml job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 76% Full Time, 22% Part Time, and 1% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $122,363 per year, or $58.8 per hour.

Client Onboarding Specialist (Series 7)

Boston, MA • Hybrid

loomissayles
See more jobs at loomissaylesexternal

$85K - $120K/yr

Full-time

Re-posted 18 days ago

Job description

About the Role

With a strong customer service mindset, the Client Intake Specialist will deliver a responsive, high-quality onboarding experience, will communicate clearly with clients and business partners, and will help build confidence, trust and goodwill throughout the intake process. The Client Intake Specialist will act as the face of Loomis Sayles, setting the stage for a successful and welcoming client relationship, including with financial intermediaries, high net worth dual contract accounts, and institutional separate accounts.

Working directly with clients and their representatives, the Client Intake Specialist will be responsible for the successful end-to-end onboarding of new accounts. The Client Intake Specialist will ensure all onboarding requirements are completed accurately and timely, including documentation and anti-money laundering/know your customer (AML/KYC) initial reviews.  The Client Intake Specialist will work collaboratively with both internal and external parties, and will take initiative to resolve outstanding items, ensuring Loomis Sayles meets client expectations and deadlines. In addition, this role will collaborate with and provide backup to the AML/KYC team and will seek out and participate in broader onboarding team initiatives.

 

Job Responsibilities

  • As the primary point of contact, provide white-glove, end-to-end onboarding service to new clients, delivering a responsive and service-oriented client experience. 
  • Working as a liaison and central point of coordination for all responsible groups within the company, while helping clients and internal partners understand requirements and next steps.
  • With consistent communication throughout the process, partner with Sales, Relationship Management, Client Administration, Legal & Compliance, Operations, the Investment Teams and other internal stakeholders to deliver coordinated, high-quality support to clients and business partners.
  • Maintain accurate client and account onboarding information across internal systems to track the onboarding progress, supporting a seamless and dependable service experience for clients and internal stakeholders.
  • With professionalism, clarity, and attention to detail and service, specific tasks include:
      • Facilitate review of investment agreements, guidelines, fee schedules, complete AML/KYC reviews and due diligence requirements for new and existing accounts
      • Coordinate transfers in kind, amendments and changes to existing accounts
      • Manage derivative trading agreement set up
      • Review KYC documents and manage the AML process for new accounts
      • Respond to AML due diligence requests from brokers and custodians
      • Coordinate Markit system uploads
      • Manage Bloomberg LEI updates and annual LEI registration renewals

 

Qualifications & Education Requirements

  • Bachelor’s degree or appropriate equivalent experience
  • Series 7 License – REQUIRED, NO EXCEPTIONS
  • At least five years of financial industry experience preferred

Experience and Knowledge

Experience in working in the investment industry with institutional clients, financial advisors, high-net-worth clients and/or financial intermediaries, with demonstrated familiarity with investment products as well as industry and contract terminology.

Skills and Competencies

  • Client focused mindset with strong service orientation and a can-do attitude
  • Excellent communication skills (written and spoken)
  • Ability to build effective relationships with internal and external stakeholders (at all levels of client and firm)
  • Demonstrated process and procedure orientation with the ability to prioritize and multitask several competing high priority projects simultaneously with a sense of urgency
  •  Exceptional organizational skills with a high level of attention to detail and follow up
  • Proven ability to work independently and to take initiative
  • Intellectual curiosity and willingness to learn
  • Dependability, flexibility and willingness to work extended hours when needed

Additional Requirements

The position follows a hybrid schedule with two days work from home and three days work from office.

 

Loomis Sayles is committed to offering competitive and equitable compensation. The salary range for this position is $85,000 - $120,000 USD. Your starting salary will be based on your experience, skills, qualifications and local benchmarking. This position is also eligible for a discretionary annual incentive award, which is based on individual and company performance. In addition to your compensation, you will have access to a comprehensive benefits package designed to support your health, well-being and financial security.

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