U.S. ISG Core Compliance Professional
Core
Director-level compliance professional supporting regulatory oversight, policy management, training programs, and lessons learned initiatives for Institutional Sales and Trading, Investment Banking, and Global Capital Markets across the Americas.
Role type
Director, Compliance Program Management
Builds
Compliance policies, training programs, regulatory reports, and governance metrics for the Americas region.
Domain
Financial Services / Regulatory Compliance
Required skills
Regulatory analysis, policy development, program management, stakeholder coordination, project management, data analysis, process improvement, documentation management, cross-functional collaboration
Preferred skills
Institutional securities experience, knowledge of SEC/FINRA/NFA regulations, familiarity with DOL LM-10/Form 5500 and SEC Rule 15a-6
Technologies
Microsoft Office (Excel, PowerPoint, Word), Teams, SharePoint
Responsibilities
Coordinate identification and analysis of lessons learned from regulatory enforcement actions; Review and assess annual regulatory priorities from SEC, FINRA, and NFA; Execute annual compliance training program including content development and delivery; Manage regulatory certification processes including DOL LM-10/Form 5500 and SEC Rule 15a-6; Produce governance metrics and management reporting for senior stakeholders; Maintain program documentation and records across designated repositories.
Seniority
Director, strategic leadership & hands-on execution