Sr. Advisor, Regulatory Reporting and Operations Compliance
Core
Oversees compliance programs and ensures alignment with business processes for an assigned business area in the securities/banking industry.
Role type
Senior IC regulatory compliance advisor
Builds
Compliance programs, policies, and procedures
Domain
Securities and banking regulation
Required skills
Securities industry compliance knowledge, SEC/FINRA/MSRB/OCC/Federal Reserve regulations, risk mitigation, policy development, regulatory research, exception monitoring, stakeholder partnership, presentation delivery
Preferred skills
CFA/CPA/Series licenses, advanced financial markets knowledge, complex project leadership
Technologies
Standard office equipment, required software applications
Responsibilities
Oversee compliance program for assigned business area, direct adjustments to existing programs and procedures, partner with Operations/Risk/Legal/Technology to support initiatives, inform senior management of potential rule violations, prepare and deliver presentations to senior management, coordinate responses to regulatory agency inquiries
Seniority
Senior, hands-on IC