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

Salient Group; New Jersey; On-site; USD 260,000 - 420,000; Full time

Job summary

Salient Group seeks a Chief Compliance Officer for the Retail/Self-Directed Client Segment (Fintech) to own the regulatory backbone of a growing U.S. retail brokerage, with direct Board access and leadership of regulatory relationships as the firm expands into digital assets.

The CCO will lead examinations, AML, and supervisory strategy, partnering with Product, Engineering, and executives to scale compliance with growth, and will build a high‑performing team across risk, marketing, and

Qualifications

• At least 12+ years in broker-dealer compliance.
• Experience as CCO or Deputy CCO at a FINRA-registered broker-dealer.
• Deep knowledge of the Exchange Act, FINRA rules, Reg BI, Reg SHO, Reg NMS, CAT, Rule 15c3-5, FINRA 3110/3120/3130, and AML/BSA.
• Active FINRA Series 7, 24, 53, and 65/66 (Series 14 a plus).
• Executive presence and board-facing advisory experience.

Responsibilities

• Lead regulatory examinations and remediation with FINRA, SEC, and state regulators.
• Own the AML framework end-to-end: CIP/CDD/EDD, sanctions, transaction monitoring, SAR governance, and independent testing.
• Advise the Board and executive team on regulatory strategy, emerging risk, and how compliance enables growth.
• Evolve supervisory programs in step with new products and trading functionality, including digital assets.
• Partner with Product, Legal, Risk, and Finance to make compliance a growth enabler and build a high-performing team.

Skills

Regulatory leadership

Board advisory

FINRA/SEC regulatory exams

AML/BSA

Executive communication

Tools

AML monitoring systems

Surveillance tools

Compliance technology

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
• 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
• 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
• 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.