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, examination playbooks, and change management frameworks
Domain
Financial Services (Securities, Insurance, Banking)
Deliverable
Dashboards & analysis | Client delivery (regulatory exams)
Required skills
Regulatory horizon scanning, examination management, regulatory change governance, cross-functional leadership, strategic risk assessment, program management
Preferred skills
Advanced degree (JD), experience in broker-dealer/RIA/insurance/banking, presenting regulatory strategy to regulators
Technologies
None explicitly stated
Responsibilities
Lead regulatory horizon scanning across SEC, FINRA, DOL, and state regulators; Design and lead mock regulatory examinations; Translate regulatory developments into actionable business strategies; Oversee enterprise regulatory change management framework; Represent the function in executive and governance forums; Coach and develop team members
Seniority
Senior Director, strategic leadership & team building
