Client Segment Risk Conduct, Controls & Governance Technology Enablement - Vice President
$115,000–$115,000 year
On-sitePurchase, New York, United States
Purchase, New York, United StatesOn-siteFull Time$115,000–$115,000 yearSenior LevelEnterprise
Full TimeSenior LevelEnterprise
Job Summary
Assess the efficiency and effectiveness of existing supervisory controls and identify enhancements, including AI solutions, to mitigate risks arising from Financial Advisor sales practice misconduct and internal policy violations. Prioritize control enhancement initiatives and coordinate with Technology, Legal, Compliance, and other groups to design, draft, test, validate, and finalize control design requirements. Lead discussions with senior leaders to implement control enhancements and manage project timelines for governed deployment of AI-enabled solutions.
Required Qualifications
- Ten or more years of experience in implementing technology-based control or process enhancements
- Translating the concept for a process or control enhancement into business requirements documentation for use by Technology, Platforms and other groups
- Hands-on familiarity with modern AI tools, architectures and implementation concepts including frontier large language models, model context protocols, AI agent and workflow orchestration, retrieval-augmented generation, embeddings, prompt engineering, context windows, tokens, model evaluation, guardrails, and the infrastructure required to integrate AI capabilities into governed business processes
- Demonstrated ability to work effectively with technical teams in a business analyst capacity, across coding, data analysis, technology implementation, control logic development, test-case design, rules-based and model-based back-testing, false-positive and false-negative analysis, issue triage, performance monitoring, and documentation of testing outcomes to support governed deployment of supervisory controls and AI-enabled solutions
- Strong quantitative and analytical skills
- Strong problem-solving and business judgment
- Strong organizational, planning and time management skills
- Ability and willingness to voice ideas, in addition to following instructions
- Ability to lead discussions including with more senior/experienced participants
- High motivation and energy with ability to develop strong working relationships
- A calm demeanor and ability to work on multiple tasks at one time
- Self-starter with a strong attention to detail
- Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
- Proficiency in MS Office, PowerPoint, Excel, Dataiku, and Tableau
- Bachelor's Degree or equivalent
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