Marketing & Communications Risk -Assistant Vice President/ Vice President
Core
Review and approve public communications for regulatory compliance, file with FINRA, and integrate AI/ML tools into risk workflows.
Role type
Senior IC marketing risk compliance manager (AI integration)
Builds
Regulatory-compliant retail communications, social media content, and AI-enabled risk workflows
Domain
Financial services / Wealth Management / Regulatory Compliance
Deliverable
production ML models
Required skills
FINRA/SEC regulatory knowledge, AI/ML operationalization, LLM integration, retail communication review, audit response, stakeholder consultation
Preferred skills
Series 24 or 9/10 license, ESG expertise, AI governance experience
Technologies
Microsoft Office, Adobe Suite, AI/LLM frameworks
Responsibilities
Review and approve public communications for regulatory compliance; File retail communications with FINRA and implement revisions; Consult with business partners on regulatory issues; Assist with regulatory exams, inquiries, and audits; Identify high-impact AI use cases and oversee delivery; Design and build AI/LLM-enabled capabilities for supervisory processes.
