Director, Compliance (AML)

About the role

About the Team & Role:
As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight.
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.

Requirements

• What you do:
  • 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
• What you offer:
  • Required: 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
  • Strongly Preferred: 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

Pay

The expected salary range for this role is $145,000 - $180,000. This role is also eligible to participate in our discretionary bonus plan.