AML & Regulatory Compliance Director - Clearing

Salient Group; Dallas (TX); On-site; USD 180,000 - 300,000; Full time

Job summary

Salient Group is seeking a Director of AML & Regulatory Compliance (Clearing) to own the program across the broker-dealer/clearing firm, ensuring adherence to BSA/AML, PATRIOT Act, and FINRA/SEC rules. You’ll partner with Technology, Operations, and Data to strengthen surveillance and data-driven controls.

The role requires hands-on experience with CDD/EDD, transaction monitoring, SARs, and sanctions screening, plus the ability to guide exams and regulatory inquiries with clear, defensible

Qualifications

• Active Series 7 and CAMS at time of hire.
• Series 24 active, or obtainable within 4 months.
• Deep knowledge of BSA/AML and PATRIOT Act.
• Hands-on with transaction monitoring, SAR filings, sanctions screening.
• Proven surveillance and regulatory inquiry experience.
• Strong writing for investigative/regulatory documentation.

Responsibilities

• Own the AML compliance program under the BSA, USA PATRIOT Act, and applicable FINRA, SEC, and state rules
• Act as SME 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 and controls (Actimize a strong plus)
• Run alerts, investigations, and escalations, and ensure 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
• Provide practical, risk-based guidance to the business
• Build strong internal and external relationships
• Coach and train AML staff and stakeholders

Skills

CAMS

Series 7

Series 24

BSA/AML knowledge

Regulatory reporting

Transaction monitoring

Sanctions screening

Risk-based escalation

Stakeholder collaboration

Lead & train staff

Tools

Actimize

Job description

Salient Group is seeking a Director of AML & Regulatory Compliance (Clearing) to own the program across the broker-dealer/clearing firm, ensuring adherence to BSA/AML, PATRIOT Act, and FINRA/SEC rules. You’ll partner with Technology, Operations, and Data to strengthen surveillance and data-driven controls.

The role requires hands-on experience with CDD/EDD, transaction monitoring, SARs, and sanctions screening, plus the ability to guide exams and regulatory inquiries with clear, defensible