Senior Compliance Leader: AML & Regulatory Risk

Equity Trust Company; Dallas (TX); On-site; USD 130,000 - 170,000; Full time

Job summary

Equity Trust Company in Dallas seeks a Senior Compliance Officer to lead regulatory adherence across FINRA, SEC and state requirements. You will oversee WSP updates, AML programs, training, audits, and risk mitigation within the risk and compliance leadership team.

You will manage regulatory filings, reports, vendor oversight, and documentation, while guiding associates with clear policy guidance and coordinating audits with other departments across the organization.

Qualifications

• Minimum Experience: At least 5-7 years in brokerage industry compliance, risk or supervisory roles.
• Education: Bachelor’s degree in business administration, finance, law, or related field is required.
• Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulatory requirements for broker-dealer operations.
• Product Expertise: Knowledge of equities, mutual funds, bonds, options, and alternative investments.
• Industry Insight: Familiarity with brokerage and investment advisory regulatory environment and operations.
• Specialized Experience: Experience in self-clearing or correspondent clearing for introducing broker dealers or RIAs.

Responsibilities

• Manages regular review and updating of WSPs to align with regulatory requirements.
• Assists in preparing and maintaining supervisory reports in compliance with WSPs and records retention.
• Executes recurring compliance and risk functions including regulatory filings, new hire coordination, vendor management, policies and procedures.
• Supports AML program including periodic account reviews and transaction monitoring.
• Contributes to development and execution of compliance training programs including AML training.
• Stays informed of regulatory changes and recommends updates to compliance framework.
• Identifies potential issues, investigates root causes, and recommends corrective actions.
• Maintains documentation of compliance activities and investigations.
• Provides guidance to employees on compliance policies and regulatory responsibilities.
• Manages annual compliance calendar and deadlines.
• Oversees trade blotters, emails, social media, and other supervisory activities.
• Serves as a resource for associates regarding compliance questions.
• Collaborates with CCO and other departments to respond to regulatory requests and audits.
• Travel may be required.
• Performs additional compliance responsibilities or special projects.

Skills

Brokerage compliance experience

Regulatory knowledge (FINRA/SEC)

Industry insight

Specialized experience in clearing/bro

Education

Bachelor’s degree in business administration, finance, law, or related field

Tools

FIS

LexisNexis

Microsoft Office Suite

Job description

Equity Trust Company in Dallas seeks a Senior Compliance Officer to lead regulatory adherence across FINRA, SEC and state requirements. You will oversee WSP updates, AML programs, training, audits, and risk mitigation within the risk and compliance leadership team.

You will manage regulatory filings, reports, vendor oversight, and documentation, while guiding associates with clear policy guidance and coordinating audits with other departments across the organization.