Salient Group · 1 day ago
Compliance Director (NYSE Listed Fintech Investments Brand)
New Jersey, United States
Full-time
Onsite
Director/Executive
$140K/yr - $160K/yrSalient Group is a NYSE listed fintech investments brand, and they are seeking a Compliance Director to lead their Anti-Money Laundering (AML) framework. The role involves driving the firm's AML strategy, overseeing investigations, and ensuring regulatory compliance while innovating surveillance systems.
Human ResourcesRecruitingStaffing Agency
Responsibilities
Own the Program: Drive the firm’s AML strategy, ensuring total alignment with BSA, PATRIOT Act, FINRA, and SEC mandates
System Innovation: Partner with Tech and Data teams to automate surveillance. Move away from manual reviews and toward smart, data-driven detection (experience with Actimize is a major advantage)
Expert Oversight: Serve as the final word on high-level investigations, SAR filings, and complex sanctions screening
Audit Readiness: Manage the front line for regulatory exams and internal audits, ensuring Written Supervisory Procedures (WSPs) are always current
Strategic Advisory: Influence business growth by providing clear, risk-based guidance to executive leadership
Qualification
Required
FINRA Series 7, 24 ideally
Extensive AML leadership experience within a FINRA-registered broker-dealer
Deep knowledge of SEC and state financial rules
Understanding of how AML data flows work and how to optimize reporting systems
Ability to take complex regulatory issues and explain them simply to any audience
Preferred
Experience with Actimize is a major advantage
Clearing firm experience is a significant plus
Familiarity with futures or event contracts
Company
Salient Group
Salient Group is a SaaS recruitment firm for tech companies.
Founded in 2008
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase