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About the Role

The AML Operations & Quality Control Program Manager is responsible for owning and maturing the quality control testing programs across KYC, transaction monitoring, SAR filing, case investigations, and settlement. This role also leads the operational cadence of the AML compliance program, ensuring it runs on schedule and delivers meaningful insights to senior management and regulators. This position is critical to demonstrating a well-controlled, measurable AML program and responding confidently to regulatory examinations and internal audits.

Responsibilities

Design, own, and execute monthly KYC quality control testing across all Cumberland entities, covering new onboardings, periodic file reviews, transaction monitoring alerts and case investigations, SAR filings, and fiat and virtual currency settlements.
Develop remediation strategies to address issues at both individual and systemic levels and track those strategies through completion.
Build and maintain QC metrics across all program streams, including pass rates, population sizes, and findings by entity, month, and severity.
Produce quarterly executive summary deliverables presenting QC results across entities, heatmaps, trends, and key observations.
Prepare periodic reports on QC program status for the AML Officer, Chief Compliance Officer, and other senior stakeholders.
Prepare QC documentation in response to regulatory examination requests and internal audits.
Own and manage the day-to-day operation of the QC program, including maintaining the annual testing calendar and executing catch-up plans.
Keep population data, sampling methodologies, and testing plans aligned with risk-based program design.
Draft and update QC procedures to reflect current regulatory expectations.
Coordinate with analysts, operations, and technology partners to keep QC workflows and data pipelines running accurately.
Oversee the execution of all key program areas through monitoring and reporting on key performance indicators, including SLA management.
Provide structured, timely feedback to AML analysts based on QC findings.
Identify training needs and coordinate targeted training to address recurring errors.
Identify opportunities to mature the QC program, including expanding coverage, improving scoring frameworks, and automating reporting, and lead implementation of improvements.
Stay current on regulatory developments, enforcement actions, and industry best practices relevant to AML QC and BSA/AML program management.

Requirements

5–8 years of BSA/AML compliance experience, with at least 3 years focused on quality control, quality assurance, or compliance testing in a financial services or digital assets environment.
Deep familiarity with KYC (onboarding, periodic review, EDD), transaction monitoring, SAR filing, and sanctions screening frameworks.
Ability to evaluate the quality and completeness of work product across all streams.
Strong proficiency in Microsoft Excel (COUNTIFS, pivot tables, data validation, conditional formatting).
Demonstrated experience building QC metrics and management reports from raw compliance data.
Working knowledge of U.S., UK and Singapore AML regulatory framework (BSA, FinCEN, OFAC) and, where applicable, international AML/CTF standards.
Familiarity with NYDFS Part 504 or similar state-level compliance frameworks is preferred.
Excellent written and verbal communication skills.
Ability to produce clear, structured documentation suitable for regulatory examination and senior management audiences.
Highly organized, detail-oriented, and capable of managing multiple concurrent testing streams and deadlines with minimal supervision.
Prior experience in a virtual currency, crypto trading, or digital asset compliance environment is a plus.
Familiarity with blockchain analytics tools such as Chainalysis or TRM Labs is a plus.

Skills

KYC
Name screening
Transaction monitoring
SAR filing
Case investigations
Settlement
Microsoft Excel
Data validation
Conditional formatting
BSA/AML compliance
Quality control
Quality assurance
Compliance testing
Financial services
Digital assets
Regulatory examination
Internal audits
Metrics production
Executive reporting
Management reporting
Program administration
Testing calendar management
Sampling methodologies
Procedure drafting
KPI oversight
SLA management
Analyst feedback
Training coordination
Program development
Industry best practices
Virtual currency compliance
Crypto trading compliance
Blockchain analytics tools
Chainalysis
TRM Labs

Location

Chicago

Work Type

Full-time

Experience Level

5-8 years

About the Company

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world.
We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk.
Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets.
We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets.
We operate with respect, curiosity and open minds.
The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it.
DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus.