Role OverviewThe Director, Trade Surveillance & Financial Crimes Compliance is responsible for leading, overseeing, and continuously enhancing the firm's Trade Surveillance and AML programs. This role provides strategic and operational leadership over market abuse surveillance, supervisory review, financial crime investigations, transaction monitoring, customer due diligence, regulatory reporting, and program governance.
What You Will Do
As the firm's subject matter expert for Trade Surveillance and AML, this leader is responsible for ensuring the effectiveness of surveillance and AML controls, maintaining compliance with SEC, FINRA, BSA, USA PATRIOT Act, OFAC, and other applicable regulatory requirements, and proactively identifying emerging risks through data analytics, technology, and industry best practices.
Why It Might Be a Fit
The position partners closely with Compliance, Risk, Operations, Legal, Technology, Product, Internal Audit, and executive leadership to strengthen the firm's compliance framework while supporting continued business growth.
Requirements
- Bachelor's degree in Finance, Accounting, Business, Economics, Criminal Justice, or related field.
- 10+ years of progressive experience in Trade Surveillance, Market Abuse Investigations, AML, Financial Crimes, or Regulatory Compliance within a broker-dealer, exchange, regulator, or financial institution.
- Demonstrated experience leading Trade Surveillance and AML programs within a FINRA- and SEC-regulated environment.
- Deep knowledge of SEC Rules and Regulations, FINRA Rules, Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, FinCEN Requirements, Market Abuse and Trade Surveillance practices.
Benefits
- Competitive salary
- Performance-based bonuses
- Comprehensive benefits package, including health, dental, and retirement plans
- Opportunities for professional growth and development
- A dynamic and collaborative work environment
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