Director, Compliance

Office Location

Dallas, TX or Jersey City, NJ

This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

• Serve as the primary coordinator and project owner for all regulatory examinations, audits, investigations, and information requests from FINRA, the SEC, state regulators, exchanges, and other governmental agencies.
• Lead the firm's responses to routine and cause examinations, investigations, cycle examinations, and regulatory inquiries.
• Coordinate information gathering efforts across Compliance, Operations, Technology, Risk, Finance, and business units to ensure timely and accurate responses to regulatory requests.
• Maintain examination logs, regulatory correspondence, document repositories, and response tracking systems.
• Prepare and coordinate management responses, remediation plans, and corrective action initiatives resulting from examinations or findings.
• Conduct internal investigations involving potential regulatory violations, supervisory concerns, customer complaints, and other compliance matters.
• Provide regular updates to senior management and the Chief Compliance Officer regarding examination status, findings, risks, and remediation efforts.

• Provide compliance support and guidance across all clearing operations functions.
• Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.
• Assist in the development and enhancement of policies, procedures, and controls designed to mitigate operational and regulatory risks.
• Participate in new product reviews, operational initiatives, and regulatory change management projects impacting clearing activities.

• Possess and maintain a comprehensive understanding of trade surveillance programs and market conduct requirements.
• Partner with surveillance personnel to evaluate potential trading violations and determine appropriate escalation and reporting actions.
• Support responses to regulatory requests involving trading activity and surveillance inquiries.

• Maintain a thorough understanding of Anti-Money Laundering requirements applicable to broker-dealers and clearing firms.
• Support the administration and effectiveness of the firm's AML program, including customer due diligence, transaction monitoring, sanctions compliance, and suspicious activity investigations.
• Assist with AML-related regulatory examinations, requests for information, and remediation efforts.
• Collaborate with AML personnel to identify emerging risks and strengthen financial crime controls.

• Monitor regulatory developments affecting broker-dealer clearing firms and assess their impact on the organization.
• Assist in the development and maintenance of Written Supervisory Procedures and Compliance Policies.
• Participate in risk assessments and control reviews across business and operational functions.
• Support implementation of regulatory initiatives and strategic compliance projects.
• Develop and maintain productive relationships with business leaders, affiliated firms, and control functions.
• Promote a strong culture of compliance and ethical conduct throughout the organization.

• Minimum of seven (5) years of compliance experience within a FINRA-regulated broker-dealer, clearing firm, or financial services organization.
• Significant experience managing or coordinating regulatory examinations, investigations, and information requests from FINRA, the SEC, and other regulators.
• Demonstrated knowledge of broker-dealer clearing operations and regulatory requirements applicable to clearing firms.
• Strong knowledge of trade surveillance and market conduct requirements.
• Strong…