Director, AML Compliance | Broker-Dealer, Clearing

Director, AML & Regulatory Compliance (Clearing) Location: Dallas, TX or New York/New Jersey The role Own the AML/Compliance program that keeps the broker-dealer/clearing firm compliant and protects the integrity of its financial services. You’ll work closely with internal and external stakeholders to spot and mitigate risk, and you’ll be the go-to expert on all things AML. What you’ll do Own the AML compliance program under the BSA, USA PATRIOT Act, and applicable FINRA, SEC, and state rules Act as subject‑matter expert on CDD, EDD, transaction monitoring, sanctions screening, and SARs Redesign AML data flows, reporting, and surveillance to cut manual review and boost efficiency Partner with Technology, Operations, and Data to implement and refine AML systems, automation, and controls (Actimize experience is a strong plus) Run alerts, investigations, and escalations, and make sure regulatory filings are accurate and on time Maintain AML WSPs, risk assessments, and internal controls Track regulatory changes and keep the firm ahead of them Lead the firm’s response to regulatory exams, audits, and inquiries Give the business practical, risk-based guidance Build strong relationships inside and outside the firm Coach and train AML staff and stakeholders What you bring: Significant AML compliance experience in a FINRA‑registered broker‑dealer (clearing firm experience strongly preferred) Active Series 7 and CAMS at time of hire Series 24 active, or obtainable within 4 months of hire Deep knowledge of BSA/AML, the PATRIOT Act, and FINRA, SEC, and state requirements Hands‑on experience with transaction monitoring, investigations, SAR filings, sanctions screening, CDD/EDD, and risk‑based escalation Proven track record managing alerts, surveillance reviews, and regulatory inquiries in broker‑dealer or capital markets settings Strong grounding in AML systems, surveillance platforms, data analysis, and reporting Experience working with Tech, Ops, and Data to improve workflows, automation, and monitoring Ability to find control gaps, test surveillance effectiveness, and land practical fixes Clear, defensible writing for investigative and regulatory documentation Strongly preferred Time at, or directly supporting, a regulator or enforcement body (FINRA, SEC, OCC, Federal Reserve, or similar) Exposure to trading environments, whether as a trader, desk support, ops, or a surveillance/compliance partner Trade surveillance and market abuse experience: spoofing, layering, wash trades, low‑priced securities, manipulation reviews Background in electronic trading, institutional brokerage, clearing, or fintech brokerage Hands‑on time with Actimize or a comparable AML/trade surveillance platform A record of improving surveillance through alert tuning, calibration, automation, or workflow changes Due to the volume of applications received, we regret to inform that only shortlisted candidates will be contacted. #J-18808-Ljbffr Salient Group