Senior Director Compliance Monitoring & Surveillance
Core
Leads a team of compliance professionals to identify and address compliance control gaps, operational deficiencies, and potential violations across front-office functions including Personal Wealth and Workplace Solutions.
Role type
Senior Director, Compliance Monitoring and Surveillance
Builds
Risk-based compliance monitoring and surveillance programs, technology solutions, and reporting mechanisms for SEC, FINRA, DOL, and state regulatory requirements.
Domain
Financial Services / Regulatory Compliance
Required skills
Compliance monitoring and surveillance strategy, risk-based control design, sales practice monitoring, electronic communications surveillance, regulatory knowledge (SEC/FINRA/DOL), team leadership, data analytics, policy development, remediation oversight.
Preferred skills
Enterprise-scale compliance transformation, advanced analytics/automation, challenger mindset.
Technologies
Surveillance technology, data analytics, reporting tools, automation platforms, business intelligence platforms.
Responsibilities
Establish strategies and procedures for the Compliance Monitoring and Surveillance program; lead detection of compliance control gaps and violations; design and implement technology-driven surveillance solutions; develop and enhance risk-based controls; deliver reporting on key findings and emerging risks; establish and monitor KRIs and KPIs; advise senior leadership on regulatory considerations; lead and develop a team of compliance professionals; oversee remediation of identified issues; refine policies and oversight mechanisms.
Seniority
Senior Director, strategic leadership and team management