Vice President, Compliance & Control

In this role, you’ll make an impact in the following ways:

• Partner with business, legal, risk, operations, and other control functions to assess regulatory requirements, resolve compliance matters, support effective governance across business activities, and oversee broker-dealer and bank compliance activities, including outside business activity reviews, personal securities transaction oversight, private placement approvals, customer complaint handling and reporting, G&E tracking, and Rep registrations.

• Review marketing materials from a global compliance perspective and provide guidance to ensure alignment with applicable regulatory and internal policy requirements.

• Monitor regulatory developments through horizon scanning processes, evaluate potential business impact, and coordinate appropriate follow-up actions with relevant stakeholders.

• Develop, maintain, and periodically review policies and standard operating procedures. Prepare and support annual compliance meetings and annual compliance questionnaires for registered individuals.

• Support compliance testing and monitoring programs, including e-communication surveillance and other controls designed to identify, escalate, and remediate compliance risks.

To be successful in this role, we’re seeking the following:

• Individual contributor experience with a bachelor’s degree or MBA required; FINRA Series 7 & 24 license required, based on role requirements.

• Strong communication, presentation, and stakeholder management skills, with the ability to engage effectively with internal business partners, control functions, senior stakeholders, and regulatory bodies.

• Proven ability to manage regulatory queries, information requests, and related follow-ups in a timely, accurate, and professionally coordinated manner.