Associate Director, Compliance
Core
Drive strategic compliance programs across the enterprise, conduct complex risk assessments, and advise senior leaders on regulatory developments for a global investment solutions business.
Role type
Senior IC compliance director (financial services)
Builds
Enterprise-wide compliance programs, policies, controls, and risk mitigation strategies
Domain
Financial services / Asset Management / Regulatory Compliance
Required skills
Regulatory research and interpretation, Risk assessment and management, Data analysis and reporting, Process redesign and improvement, Stakeholder engagement, Policy development
Preferred skills
Series 30 license, Series 3 license, Knowledge of AML/KYC/GDPR, Experience with SEC/FINRA regulations
Technologies
Microsoft Office suite
Responsibilities
Conduct complex risk assessments and oversee compliance monitoring, Assist with regulatory examinations and liaise with regulators, Lead process redesign and implement enterprise-wide compliance programs, Analyze data to identify compliance trends and recommend improvements, Develop external communication strategies for compliance matters, Contribute to policy and training strategies
Seniority
Senior, hands-on IC