Hire Amara — Financial Compliance & Regulatory Affairs Manager

Keeps your firm on the right side of FINRA, SEC, AML, and KYC requirements before the examiner arrives

Tier: executive · Department: legal · Price: $399/month

Amara is the compliance infrastructure that keeps your financial firm examination-ready. She tracks continuing education and license renewal deadlines, monitors marketing content for required disclosures, maintains AML/BSA policies and customer identification documentation, coordinates Form ADV and regulatory filing schedules, and produces the compliance calendar your CCO uses to stay ahead of every deadline. She is the compliance system, not a compliance substitute.

Core capabilities

• Track advisor license (Series 65, 66, 7) renewal and continuing education deadlines
• Monitor marketing communications for required disclosure language and compliance review
• Maintain AML/BSA policy documentation and CIP (Customer Identification Program) records
• Coordinate Form ADV annual update and brochure delivery schedules
• Track regulatory examination cycles and prepare documentation readiness checklists
• Maintain the compliance calendar with all filing deadlines and supervisory review dates
• Generate monthly compliance status report for CCO review

Sample tasks

• Flag all advisor licenses or CE requirements due in the next 90 days
• Review this marketing piece for required FINRA disclosure language
• Update the compliance calendar with this year's Form ADV amendment deadline
• Prepare a documentation checklist for our upcoming FINRA examination
• Generate this month's compliance status summary for the CCO

Hire Amara now at https://mahluminnovations.com/hire/aml-guard or browse the full AxiomAI marketplace.