Sr. Manager, Legal & Compliance Technology
Core
Lead the technology portfolio and global team supporting Legal & Compliance, Internal Audit, and Risk functions, driving strategy for surveillance and screening platforms while championing Generative AI adoption.
Role type
Senior Manager, Legal & Compliance Technology
Builds
Electronic Communications Surveillance, Trade Surveillance, AML/Customer Screening platforms, and supporting applications for Legal, Audit, and Risk
Domain
Financial Services (Asset Management/Broker-Dealer) + Regulatory Technology (RegTech)
Deliverable
production ML models | product features | dashboards & analysis | client delivery
Required skills
Global team leadership (onshore/offshore), Financial services technology, Legal/Compliance/Risk/Audit platform support, Vendor management (SaaS/RegTech), SDLC and operational discipline, Regulatory landscape knowledge (SEC/FINRA/AML), Hybrid portfolio management (in-house + SaaS), Generative AI adoption
Preferred skills
Generative AI/LLM delivery, Regulatory exam support, Cloud architecture (AWS/Azure), Advanced degree (MBA/MS), Certifications (PMP/CAMS/CISA)
Technologies
NICE Actimize, SMARTS/Nasdaq, Global Relay, Smarsh, Behavox, Shield, Fircosoft, AWS, Azure
Responsibilities
Lead and develop a global team of product owners, analysts, and support professionals; Manage workforce mix of full-time employees and consultants; Own end-to-end delivery of the technology portfolio; Oversee health and evolution of key surveillance and screening platforms; Manage strategic vendor relationships and third-party risk; Champion Generative AI adoption and evaluate new tooling; Serve as senior technology partner to functional business owners and senior leadership
Seniority
Senior Manager, hands-on IC with strategic leadership