About the job
The Mission
Protect the firm and the broader financial ecosystem. As the AML Lead, you will be the primary architect of the Anti-Money Laundering framework. You aren’t just checking boxes; you are leading a specialized team to detect, investigate, and neutralize financial risk. This role is for a hands-on leader who thrives on building robust surveillance systems and maintaining bulletproof regulatory relationships.
What You’ll Do
- Own the Program: Drive the firm’s AML strategy, ensuring total alignment with BSA, PATRIOT Act, FINRA, and SEC mandates.
- System Innovation: Partner with Tech and Data teams to automate surveillance. Move away from manual reviews and toward smart, data-driven detection (experience with Actimize is a major advantage).
- Expert Oversight: Serve as the final word on high-level investigations, SAR filings, and complex sanctions screening.
- Audit Readiness: Manage the front line for regulatory exams and internal audits, ensuring Written Supervisory Procedures (WSPs) are always current.
- Strategic Advisory: Influence business growth by providing clear, risk-based guidance to executive leadership.
What You Bring
- The Credentials: FINRA Series 7, 24 ideally.
- Sector Expertise: Extensive AML leadership experience within a FINRA-registered broker-dealer. If you have clearing firm experience, that’s a significant plus.
- Regulatory Fluency: Deep knowledge of SEC and state financial rules, with a bonus for familiarity with futures or event contracts.
- Technical Edge: You understand how AML data flows work and how to optimize reporting systems.
- Communication: You can take complex regulatory issues and explain them simply to any audience.
Interested in this opportunity? Reach out at info@salientgroup.com.au
