Director, Trade Surveillance & Financial Crimes Compliance
$185,000–$230,000 year
On-siteDallas, Texas, United States or Jersey City, New Jersey, United States
Job Summary
Lead and oversee the firm's Trade Surveillance and AML programs across equities, options, ETFs, and digital assets. Supervise daily review, investigation, and resolution of surveillance alerts, ensuring effective identification of market abuse including insider trading, spoofing, and wash trading. Drive AML initiatives covering customer due diligence, transaction monitoring, and sanctions screening to satisfy SEC, FINRA, BSA, and OFAC requirements. Partner with Compliance, Risk, Operations, and Technology to strengthen the compliance framework, manage regulatory examinations, and develop strategic roadmaps for program enhancements. Serve as the primary escalation point for significant financial crime matters and SAR governance.
Required Qualifications
- 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
- Deep knowledge of FINRA Rules
- Deep knowledge of Bank Secrecy Act (BSA)
- Deep knowledge of USA PATRIOT Act
- Deep knowledge of OFAC
- Deep knowledge of FinCEN Requirements
- Deep knowledge of Market Abuse and Trade Surveillance practices
- Experience leading regulatory examinations and managing remediation activities
- Strong leadership, investigative, analytical, and communication skills
Desired Qualifications
- Experience supporting a self-clearing or introducing broker-dealer
- Experience with retail brokerage platforms and customer trading activity
- Knowledge of options, margin, futures, and digital asset trading
- Experience implementing surveillance technologies, case management systems, and AI-driven monitoring solutions
- Previous regulatory experience with FINRA, SEC, CFTC, NFA, Nasdaq, NYSE, or another exchange
- Experience with Nasdaq SMARTS
- Experience with NICE Actimize
- Experience with ACA ComplianceAlpha
- Experience with Eventus Validus
- Experience with SteelEye
- Experience with SQL
- Experience with Python
- Experience with Tableau
- Experience with Power BI
- Experience with Case Management & AML Monitoring Systems
- FINRA Series 7
- FINRA Series 24
- CAMS (Certified Anti-Money Laundering Specialist)
- CFE (Certified Fraud Examiner)
- CFCS (Certified Financial Crime Specialist)
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