About The Role

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.

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.
Strong working knowledge of applicable laws, rules, and regulations issued by relevant regulators across the U.S., Europe, and other global jurisdictions.
Hands-on experience using AI-enabled tools and the ability to identify and implement AI-driven solutions that improve compliance processes, efficiency, and risk management outcomes.