About the job

Compliance Director – AML & Regulatory Affairs (Broker-Dealer / Clearing Firm)

As the compliance director, you’ll own the compliance function where regulators, trading, and clearing intersect.

We’re looking for a senior compliance leader to take ownership of a broker-dealer’s most consequential regulatory relationships — from AML program oversight to serving as the firm’s lead point of contact for FINRA, SEC, and state regulatory examinations. This is a high-visibility mandate for someone who wants to shape how a firm shows up to its regulators, not just react to them.

You’ll sit at the center of Compliance, Operations, Technology, and Risk — translating regulatory expectations into practical, defensible controls across AML, trade surveillance, and clearing operations.

What you’ll own:

Regulatory Examinations & Investigations

• Be the firm’s primary coordinator for all regulatory exams, audits, investigations, and information requests from FINRA, the SEC, state regulators, and exchanges
• Lead responses to cycle and cause examinations, manage remediation plans, and keep senior management and the CCO informed on status and risk
• Run internal investigations tied to regulatory violations, supervisory issues, or customer complaints

AML Program Leadership

• Own the AML compliance program end-to-end under BSA, USA PATRIOT Act, FINRA, SEC, and state requirements
• Drive CDD/EDD, transaction monitoring, sanctions screening, and SAR filings
• Partner with Technology and Data teams to modernize AML systems and surveillance — Actimize experience a strong plus
• Maintain WSPs, risk assessments, and internal controls; lead training across AML staff and stakeholders

Trade Surveillance & Clearing Operations

• Maintain fluency in clearing/settlement processes, securities lending, margin, and books & records requirements
• Partner with surveillance teams on trading violation reviews — spoofing, layering, wash trades, market manipulation — and determine escalation paths
• Support new product reviews and regulatory change management for clearing activities

What you bring:

• Deep AML compliance experience within a FINRA-registered broker-dealer; clearing firm background strongly preferred
• Active FINRA Series 7 at time of hire; CAMS certification active
• Series 24 active, or obtainable within 4 months
• Strong working knowledge of BSA/AML, USA PATRIOT Act, and FINRA/SEC/state regulatory frameworks
• Track record managing AML alerts, investigations, SAR filings, and regulatory inquiries in broker-dealer or capital markets settings
• Comfort partnering across Technology, Operations, and Data to optimize surveillance and monitoring
• Sharp written and verbal communication skills — you can produce clear, defensible regulatory documentation under pressure

Bonus points for:

• Prior experience at or supporting a regulatory agency (FINRA, SEC, OCC, Federal Reserve)
• Time spent on a trading desk, in trading operations, or supporting trading activity from a