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.
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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