Chief Compliance Officer, Retail/Self-Directed Client Segment (Fintech)

Salient Group; New Jersey; On-site; USD 180,000 - 260,000; Full time

Job summary

Salient Group seeks a Chief Compliance Officer for its U.S. retail broker-dealer segment in New Jersey. The leader will own the regulatory and supervisory backbone, with direct Board access and responsibility for regulator relationships.

You will oversee examinations, trade surveillance, AML, and supervisory strategy, partnering with Product, Engineering, and executive leadership to scale compliance with growth, including digital assets expansion.

Qualifications

• 12 years of progressive broker-dealer compliance experience, including senior roles.
• Direct experience leading regulatory examinations and remediation with FINRA/SEC.
• Deep knowledge of Exchange Act, FINRA rules, Reg BI/Reg SHO/Reg NMS/CAT/Rule 15c3-5/FINRA 3110/3120/3130, and AML/BSA.
• Active Series 7, 24, 53, and 65/66 (Series 14 a plus).
• Executive presence with Board-facing communication.

Responsibilities

• Lead regulatory examinations and remediation with FINRA, SEC, and state regulators.
• Set strategy for trade surveillance, market abuse, best execution, Reg SHO, CAT reporting, e-communications, and supervision.
• Own AML framework end-to-end: CIP/CDD/EDD, sanctions, transaction monitoring, SAR governance, and independent testing.
• Approve retail communications and disclosures; guide crypto/digital asset initiatives.
• Build enterprise risk assessments, dashboards, and modern compliance monitoring; partner with Product, Legal, Risk, and Finance.
• Build and lead a high-performing, multi-disciplinary compliance organization.

Skills

Regulatory leadership

Board advisory

FINRA/SEC liaison

Examinations & remediation

AML & financial crimes

Digital assets compliance

Executive communication

Job description

++Chief Compliance Officer, Retail/Self-Directed Client Segment (Fintech)++

++The Opportunity++

This is a rare mandate for a senior compliance executive to own the regulatory and supervisory backbone of a growing U.S. retail brokerage — with direct Board access, full ownership of the regulator relationship, and a mandate to shape how compliance scales alongside the business. You will sit at the table where the firm’s biggest strategic decisions get made, not just review them after the fact.

You’ll serve as CCO for the broker-dealer, leading examinations, trade surveillance, AML, and supervisory strategy — while partnering directly with Product, Engineering, and executive leadership to embed compliance into the firm’s next phase of growth, including its expansion into digital assets.

++What You’ll Own++

Regulatory Leadership & Board Advisory

• Serve as the firm’s face to FINRA, SEC, and state regulators — leading all exams, inquiries, and remediation to close
• Advise the Board and executive team on regulatory strategy, emerging risk, and how compliance enables growth

Trade Surveillance & Supervision

• Set the strategy across market abuse, best execution, Reg SHO, CAT reporting, e-comms, employee trading, OBAs, conflicts, and branch supervision
• Evolve supervisory programs in lockstep with new products and trading functionality

AML & Financial Crimes

• Own the AML framework end-to-end: CIP/CDD/EDD, sanctions, transaction monitoring, SAR governance, and independent testing

Marketing, Retail Communications & Digital Assets

• Approve retail-facing marketing, app/web content, and disclosures under FINRA communications rules
• Bring compliance expertise to the firm’s crypto and digital asset initiatives — a chance to help define the playbook, not just follow one

Risk, Technology & Business Partnership

• Build enterprise risk assessments, testing programs, and modern compliance monitoring (metrics, dashboards, automation)
• Partner across Product, Legal, Risk, and Finance to make compliance a growth enabler

Team Leadership

• Build and lead a high-performing, multi-disciplinary compliance organization

++What You Bring++

• 12 years of progressive broker-dealer compliance experience, including prior service as CCO or Deputy CCO of a FINRA-registered broker-dealer
• Direct, sustained experience leading regulatory examinations and remediation with FINRA, SEC, and state regulators
• Deep command of the Exchange Act, FINRA rules, Reg BI, Reg SHO, Reg NMS, CAT, Rule 15c3-5, FINRA 3110/3120/3130, and AML/BSA
• Active Series 7, 24, 53, and 65/66 (Series 14 a plus)
• Executive presence — comfortable presenting to and advising a Board

Good to have: Self-clearing broker-dealer experience, digital/retail brokerage platforms, multi-entity or introducing/clearing structures, options/margin/securities lending, and hands-on exposure to compliance technology or AI-driven surveillance.

We regret to inform only shortlisted candidates will be contacted.