Director, Compliance (AML)

About the role

This role must be based at the specified office locations, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

Responsibilities

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations.
• Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs.
• Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
• Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls; Actimize experience is a strong plus.
• Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
• Maintain AML WSPs, risk assessments, and internal controls.
• Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements.
• Prepare for and respond to regulatory exams, audits, and inquiries.
• Influence business decisions by providing risk-based compliance guidance.
• Build and maintain strong internal and external relationships.
• Provide guidance and training to AML staff and stakeholders.

Requirements

• Significant AML compliance experience within a FINRA-registered broker-dealer; clearing firm experience strongly preferred
• 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 requirements, USA PATRIOT Act, FINRA, SEC, state, and related regulatory requirements
• Strong hands-on experience with AML transaction monitoring, investigations, SAR filings, sanctions screening, CDD/EDD, and risk-based escalation processes
• Demonstrated experience managing AML alerts, investigations, surveillance reviews, and regulatory inquiries within broker-dealer or capital markets environments
• Strong background in AML systems, surveillance platforms, data analysis, reporting, and control optimization
• Experience partnering with Technology, Operations, and Data teams to improve AML workflows, automation, and monitoring effectiveness
• Ability to identify control gaps, assess surveillance effectiveness, and implement practical, risk-based solutions
• Excellent written and verbal communication skills, including the ability to prepare clear, defensible investigative and regulatory documentation
• Prior experience working at or directly supporting regulatory agencies such as FINRA, SEC, OCC, Federal Reserve, or similar regulatory/enforcement organizations
• Experience working in trading environments, including direct exposure as a trader, trading desk support professional, operations contributor, or surveillance/compliance partner supporting trading activity
• Trade surveillance and market abuse monitoring experience, including suspicious trading activity, spoofing, layering, wash trades, low-priced securities, or market manipulation reviews
• Experience within electronic trading, institutional brokerage, clearing, or fintech brokerage environments
• Hands-on experience with Actimize or comparable AML/trade surveillance platforms
• Experience improving AML surveillance effectiveness through alert tuning, calibration, automation, or workflow optimization

Benefits

• Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution: We match your contributions to help you grow your retirement savings
• Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
• Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
• Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success