Senior Director Compliance Monitoring & Surveillance
Core
Leads compliance monitoring and surveillance strategy, detection of control gaps/violations, and risk-based oversight for front-office functions (Personal Wealth, Workplace Solutions) to ensure adherence to SEC, FINRA, DOL, and state regulations.
Role type
Senior Director, Compliance Monitoring & Surveillance
Builds
Risk-based compliance monitoring programs, surveillance controls, and data-driven detection solutions for sales practices and client interactions.
Domain
Financial Services / Regulatory Compliance
Deliverable
production ML models | dashboards & analysis | client delivery
Required skills
Compliance monitoring & surveillance strategy, risk-based control design, sales practice monitoring, electronic communications surveillance, regulatory knowledge (SEC/FINRA/DOL), data analytics for risk detection, team leadership, policy development, remediation oversight.
Preferred skills
Enterprise-scale compliance transformation, advanced analytics/automation application, challenger mindset for organizational change.
Technologies
Surveillance platforms, communications-monitoring tools, analytics platforms, business intelligence platforms.
Responsibilities
Establish strategies and procedures for the Compliance Monitoring program; lead detection of compliance gaps and violations; design and implement technology-driven surveillance solutions; develop risk-based controls; deliver reporting on findings and trends; monitor KRIs/KPIs; advise leadership on regulatory changes; lead and develop a team of compliance professionals; oversee issue remediation and closure; refine policies and oversight mechanisms.
Seniority
Senior Director, strategic leadership & team management