VP, AI Compliance Officer
Core
Provide second-line oversight, advisory support, and governance for Artificial Intelligence and Generative AI initiatives in Wealth Management, partnering with legal, risk, and technology stakeholders.
Role type
VP, AI Compliance Officer (Second Line of Defense)
Builds
Compliance policies, training programs, risk controls, and management reporting for AI/GenAI platforms.
Domain
Financial Services / Wealth Management / AI Governance
Deliverable
dashboards & analysis
Required skills
AI governance strategy, regulatory compliance (Consumer Protection, Standards of Care), model risk assessment, conflict of interest analysis, policy drafting, stakeholder collaboration, analytical reasoning
Preferred skills
Experience with Large Language Models, predictive analytics, regulatory inquiries, audit remediation
Technologies
Generative AI, Large Language Models, Machine Learning models
Responsibilities
Advise teams on AI governance and data usage; Review AI/ML models for regulatory compliance; Assess AI against risk considerations and recommend controls; Establish monitoring and testing controls; Collaborate on compliance policies and training; Participate in governance committees; Prepare management reporting and metrics; Support regulatory inquiries and audits.
Seniority
VP, Strategy & Mentorship
