Director, AML Compliance | Broker-Dealer, 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

Director, AML & Regulatory Compliance (Clearing)

Location: Dallas, TX or New York/New Jersey

The role

Own the AML/Compliance program that keeps the broker-dealer/clearing firm compliant and protects the integrity of its financial services. You’ll work closely with internal and external stakeholders to spot and mitigate risk, and you’ll be the go-to expert on all things AML.

What you’ll do

• Own the AML compliance program under the BSA, USA PATRIOT Act, and applicable FINRA, SEC, and state rules
• Act as subject‑matter expert 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, automation, and controls (Actimize experience is a strong plus)
• Run alerts, investigations, and escalations, and make sure 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
• Give the business practical, risk-based guidance
• Build strong relationships inside and outside the firm
• Coach and train AML staff and stakeholders

What you bring:

• Significant AML compliance experience in a FINRA‑registered broker‑dealer (clearing firm experience strongly preferred)
• Active Series 7 and CAMS at time of hire
• Series 24 active, or obtainable within 4 months of hire
• Deep knowledge of BSA/AML, the PATRIOT Act, and FINRA, SEC, and state requirements
• Hands‑on experience with transaction monitoring, investigations, SAR filings, sanctions screening, CDD/EDD, and risk‑based escalation
• Proven track record managing alerts, surveillance reviews, and regulatory inquiries in broker‑dealer or capital markets settings
• Strong grounding in AML systems, surveillance platforms, data analysis, and reporting
• Experience working with Tech, Ops, and Data to improve workflows, automation, and monitoring
• Ability to find control gaps, test surveillance effectiveness, and land practical fixes
• Clear, defensible writing for investigative and regulatory documentation

Strongly preferred

• Time at, or directly supporting, a regulator or enforcement body (FINRA, SEC, OCC, Federal Reserve, or similar)
• Exposure to trading environments, whether as a trader, desk support, ops, or a surveillance/compliance partner
• Trade surveillance and market abuse experience: spoofing, layering, wash trades, low‑priced securities, manipulation reviews
• Background in electronic trading, institutional brokerage, clearing, or fintech brokerage
• Hands‑on time with Actimize or a comparable AML/trade surveillance platform
• A record of improving surveillance through alert tuning, calibration, automation, or workflow changes

Due to the volume of applications received, we regret to inform that only shortlisted candidates will be contacted.