Senior Manager, Distribution Governance
Core
Build and maintain infrastructure for sales governance, compliance, and risk oversight within the Intermediary Distribution business.
Role type
Senior Manager, Sales Governance & Compliance
Builds
Sales governance frameworks, compliance policies, and risk mitigation processes for the distribution business.
Domain
Financial Services / Asset Management / Regulatory Compliance
Required skills
Financial services industry knowledge, regulatory compliance expertise, stakeholder management, policy development, risk assessment, training design, due diligence oversight, licensing coordination
Preferred skills
Series 7 & 66 licenses, Bachelor's degree
Technologies
N/A
Responsibilities
Serve as a trusted resource for sales teams on firm policies and regulatory requirements; Partner with Compliance, Legal, and Risk to resolve complex business issues; Develop and maintain policies and procedures supporting sales activities; Lead the Due Diligence Oversight Forum (DDOF) to review intermediary relationships; Coordinate onboarding, licensing, and registration for sales personnel; Monitor high-risk sales practices and implement process improvements.
Seniority
Senior Manager, hands-on leadership