Manager, Business Compliance
Core
Provides regulatory compliance advice and direction to Wealth businesses, acting as the designated subject matter expert for 1st Line compliance and leading the Enterprise Compliance Program (ECP).
Role type
Manager, Business Compliance (1st Line)
Builds
Enterprise Compliance Program (ECP) frameworks, compliance policies, and risk mitigation plans for Wealth business units.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory interpretation, risk assessment, change management, policy development, stakeholder engagement, issue investigation, training delivery
Preferred skills
Understanding of Volcker, Privacy, and Anti-Corruption regulations, experience with GRCE systems, industry association participation
Technologies
GRCE
Responsibilities
Lead annual Regulatory Compliance Risk Assessments (RCRA) for Volcker, Privacy, and Anti-Corruption; develop and maintain business compliance policies; support business leaders in implementing 1st Line compliance programs; investigate and mitigate regulatory compliance issues; deliver compliance training to business unit employees.
Seniority
Manager, hands-on IC
