Job Description
1. Lead key elements of the compliance program supporting wealth products and services, ensuring alignment with OCC, consumer banking, SEC, and FINRA expectations
2. Partner with senior business and functional leaders to address audit findings, regulatory issues, and examination outcomes
3. Advise on new products, activities, and initiatives, providing guidance on control design and monitoring requirements
4. Build and refine monitoring, testing, and risk assessment processes for evolving and complex business models
5. Oversee compliance framework components, including policies, procedures, issue management, reporting, and ongoing governance
6. Participate in governance meetings and act as a subject matter expert for compliance matters across wealth management
7. Collaborate with product, operations, and technology teams to embed compliance considerations throughout product and service lifecycles
8. Support the preparation of materials for regulatory engagements, including examinations, meetings, and written responses
9. Produce reporting, dashboards, and risk assessments for senior leadership and board‑level audiences
10. Engage and influence senior executives and cross‑functional partners through clear communication and strong analytical insight