Regional Lead
Core
Provide operational and day-to-day support to the HOS VP, lead strategic projects, and act as a liaison between regions and stakeholders to manage risk and supervision.
Role type
Senior IC Assistant Vice President (Operations & Compliance)
Builds
Operational support for supervisory functions, strategic initiatives for process efficiency, and risk mitigation frameworks
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Supervision, regulatory interpretation (FINRA/SEC/state), policy development, project management, stakeholder liaison, risk analysis, process improvement, metrics reporting, resource planning
Preferred skills
Team leadership, AI tools usage, advanced project management
Technologies
Microsoft Excel, Microsoft Word, Microsoft Access, Microsoft PowerPoint, FINRA systems, SEC reporting tools
Responsibilities
Support VP with escalations and supervisory functions; lead departmental initiatives to streamline processes and improve risk mitigation; monitor workload and staffing via metrics to ensure SLA adherence; interpret regulations and develop internal policies to mitigate risk; identify regulatory gaps and report corrective actions; serve as key contact for internal departments like Operations and Client Success.
Seniority
Senior, hands-on IC with strategic project leadership