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, regulatory reports, training programs, and governance metrics for US securities and futures businesses.
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory monitoring, policy development, program management, training coordination, certification management, process automation, stakeholder reporting
Preferred skills
Institutional securities experience, cross-functional collaboration, project management
Technologies
Microsoft Office (Excel, PowerPoint, Word, Teams, SharePoint), reporting tools
Responsibilities
Coordinate lessons learned from regulatory enforcement actions; review SEC/FINRA/NFA regulatory priorities; execute annual compliance training plans; manage regulatory certification processes (LM-10, Form 5500, Rule 15a-6); maintain program documentation and governance metrics; support gift & entertainment initiatives.
Seniority
Director, strategic program ownership