Compliance Director, Regulatory Examinations & AML

Compliance Director, Regulatory Examinations & AML





We're looking for a senior compliance leader to take ownership of a broker-dealer's most consequential regulatory relationships — from AML program oversight to serving as the firm's lead point of contact for FINRA, SEC, and state regulatory examinations. This is a high-visibility mandate for someone who wants to shape how a firm shows up to its regulators, not just react to them.

You'll sit at the center of Compliance, Operations, Technology, and Risk — translating regulatory expectations into practical, defensible controls across AML, trade surveillance, and clearing operations.





Regulatory Examinations & Investigations


- 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.


Clearing Operations Oversight


- 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.


Trade Surveillance & AML


- 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.


General


- Track regulatory developments; maintain WSPs and compliance policies.
- Support risk assessments, control reviews, and strategic compliance projects.


Requirements


- 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.






Preferred: multinational financial services experience, affiliate/omnibus clearing familiarity, strong stakeholder influence in fast-paced, regulated environments.





Benefits: Full medical coverage, 401k match, generous PTO, professional development, performance bonuses.





We regret to inform only shortlisted candidates will be contacted.