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Job Description
📋 Description Lead the compliance risk management team across business lines and regulated entities. Support the Chief Compliance Officer in designing and managing the enterprise-wide program; supervise staff. Lead the Governance, Risk, and Compliance (GRC) program for regulatory risk management. Administer policy governance and maintain policies and procedures. Develop and maintain an AI governance framework for safe and compliant AI deployment. Plan, monitor, and report on broker-dealer risk assessments and certifications. 🎯 Requirements 10+ years of experience as a compliance professional at a broker-dealer or investment adviser. FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations as necessary. 🎁 Benefits Medical, vision, and dental coverage. 401K retirement plan with employer match. Generous paid time off and holidays. Parental leave. Wellness reimbursements. Professional development opportunities.
