Global Compliance Director: Examinations & AML

Salient Group; Dallas (TX); Sur place; USD 180 000 - 230 000; Plein temps

Avantages offerts par ce poste

Full medical coverage

401k match

Generous PTO

Professional development

Performance bonuses

Résumé du poste

Salient Group seeks a Compliance Director to own regulatory examinations, lead responses, and oversee AML programs for a global broker-dealer. This senior role collaborates with Compliance, Ops, Tech, Risk, and Finance to translate regulatory expectations into defensible controls across AML, surveillance, and clearing operations.

The position requires 5+ years in FINRA-regulated settings, Series 7 & 24, and a proven track record with FINRA/SEC examinations. Multinational experience preferred.

Qualifications

• 5+ years compliance experience at a FINRA-regulated broker-dealer or clearing firm.
• Proven track record managing FINRA/SEC examinations and investigations.
• Strong knowledge of clearing operations, trade surveillance, and AML/financial crime regulations.
• Series 7 and 24 required; Series 3 and 4 preferred.

Responsabilités

• Own and coordinate all regulatory examinations, audits, and information requests from FINRA, SEC, state regulators, and exchanges.
• Lead responses to routine, cause, and cycle examinations; coordinate cross-functional input from Compliance, Ops, Tech, Risk, and Finance.
• Maintain examination logs and response tracking; drive remediation plans and corrective actions.
• Conduct internal investigations on regulatory, supervisory, and complaint matters; report status to senior management and the CCO.
• Provide compliance guidance across clearing and settlement, securities lending, margin, and books/records.
• Strengthen policies and controls; support new product reviews and regulatory change initiatives.
• Partner with surveillance teams on trading violation escalation and regulatory inquiries.
• Support AML program administration — CDD, transaction monitoring, sanctions, SARs — and related exams and remediation.

Connaissances

Regulatory compliance

Examinations management

AML program oversight

Trade surveillance

Clearing operations

Formation

Series 7

Series 24

Series 3

Series 4

Description du poste

Salient Group seeks a Compliance Director to own regulatory examinations, lead responses, and oversee AML programs for a global broker-dealer. This senior role collaborates with Compliance, Ops, Tech, Risk, and Finance to translate regulatory expectations into defensible controls across AML, surveillance, and clearing operations.

The position requires 5+ years in FINRA-regulated settings, Series 7 & 24, and a proven track record with FINRA/SEC examinations. Multinational experience preferred.