Senior Compliance Leader - Regulatory Risk & AML

INNOVAYTE LLC; Dallas (TX); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Innovayte LLC is seeking a Senior Compliance Officer to lead regulatory adherence for FINRA/SEC and internal controls. You will oversee AML, risk management, and supervisory obligations, collaborating with the CCO across locations.

You will maintain WSPs, prepare supervisory reports, train staff on compliance, and support audits and regulatory requests. A strong brokerage background and relevant licenses are essential.

Qualifications

• Minimum 5–7 years in brokerage compliance, risk or supervisory roles.
• Deep understanding of FINRA, SEC and state regulatory requirements.
• Knowledge of financial products and brokerage operations.

Responsibilities

• Manages review and updates of WSPs to align with regs and best practices.
• Maintains AML program including reviews, monitoring, and regulatory obligations.
• Prepares supervisory reports and maintains books and records.
• Develops and delivers compliance training for staff (Firm Element and AML).
• Responds to regulatory requests and coordinates audits with other departments.

Skills

Regulatory knowledge

Brokerage compliance

Risk management

Education

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

Tools

FIS

LexisNexis

Microsoft Office

Surveillance tools

Regulatory reporting systems

CRM platforms

Hadrius

Smarsh

Protegent

Job description

Innovayte LLC is seeking a Senior Compliance Officer to lead regulatory adherence for FINRA/SEC and internal controls. You will oversee AML, risk management, and supervisory obligations, collaborating with the CCO across locations.

You will maintain WSPs, prepare supervisory reports, train staff on compliance, and support audits and regulatory requests. A strong brokerage background and relevant licenses are essential.