Job Description
In this position, you will make a strategic impact by:
1. Enhancing and managing the compliance program supporting Wealth businesses, ensuring alignment with regulatory standards across OCC, consumer banking regulations, SEC, and FINRA.
2. Building strong partnerships with business leaders to address regulatory findings, lead audit/exam discussions, and present to senior management.
3. Advising on compliance considerations related to new products, services, and initiatives, including designing appropriate controls and monitoring mechanisms.
4. Developing and executing monitoring, testing, and risk assessment programs within a dynamic and evolving business model.
5. Managing key elements of the compliance framework including policies, procedures, issue management, and ongoing reporting.
6. Serving as a subject matter expert within governance forums and advising stakeholders across Wealth Management.
7. Working with technology and product teams to integrate compliance expectations into product development and operational workflows.
8. Supporting interactions with regulators by preparing materials, coordinating responses, and contributing to strategy for regulatory engagements.
9. Influencing cross‑functional teams and stakeholders through strong communication, leadership presence, and analytical insight.
10. Preparing executive‑level reporting, dashboards, and risk summaries for leadership and board committees.