Compliance Director

New York, NY

Post Date: 09/14/2017 Job ID: 10105800 Industry: FIN Perm
  We are seeking an experienced Compliance Director.   The Compliance Director is both an individual contributor and leader.   The successful candidate will have a proven track record addressing a diverse set of operational compliance issues.
 
Accountabilities:
Partner with the Chief Regulatory Officer by taking an active role in Wealth Management regulatory functions as it relates to proposed rules, approved rules, regulatory issues and regulatory risk.
  • Manage responses to regulatory inquiries and compliance implementation processes.
  • Review regulatory enforcement activities to assist in assessing regulatory view of risk.
  • Advocate for regulatory projects as part of demand management; working with other areas to effectively prioritize projects including partnering with colleagues in operational risk, development, and product management.

Barry Whelan


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