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 regulatory risk communications specialist (AI integration)
Builds
Retail communications, social media content, and AI-enabled supervisory processes
Domain
Financial services / Wealth Management / Regulatory Compliance
Deliverable
production ML models
Required skills
FINRA/SEC rule knowledge, AI/ML operationalization, LLM integration, regulatory filing, audit support, complex issue resolution
Preferred skills
Series 24 or 9/10 license, ESG expertise, technology team partnership
Technologies
Microsoft Office, Adobe Suite, AI/LLM frameworks
Responsibilities
Review and approve retail communications and social media content; File communications with FINRA and respond to comments; Consult with business partners on regulatory issues; Assist with regulatory exams and audits; Identify and develop high-impact AI use cases for risk workflows; Design and build AI/LLM capabilities for supervisory processes.
