Senior Director Regulatory Strategy & Readiness
Core
Senior leader responsible for advancing proactive regulatory strategy, enterprise regulatory readiness, and regulatory change management capabilities for a financial services firm.
Role type
Senior Director, Regulatory Strategy & Readiness
Builds
Enterprise regulatory strategy, readiness programs, and change management frameworks for regulatory examinations and supervisory engagements.
Domain
Financial Services / Regulatory Affairs
Deliverable
dashboards & analysis
Required skills
Strategic judgment, regulatory horizon scanning, examination management, cross-functional leadership, regulatory change governance, program management, stakeholder influence, risk assessment, resource allocation.
Preferred skills
Juris Doctor (JD), advanced degree, relevant professional certification, experience in broker-dealer/RIA/insurance/banking.
Technologies
None stated
Responsibilities
Develop and execute enterprise regulatory strategy; lead regulatory horizon scanning across SEC, FINRA, DOL, and state regulators; manage regulatory examinations and mock examinations; translate regulatory developments into actionable business strategies; lead regulatory change management frameworks; build and lead the Regulatory Strategy & Readiness function.
Seniority
Senior Director, strategic leadership & team building