Senior Vice President, Markets Compliance
On-sitePittsburgh, Pennsylvania, United States
Job Summary
Advise business and platform leads on US broker dealer laws, rules, and regulations while working cross-functionally to design and maintain a robust compliance program. Conduct risk assessments and internal monitoring reviews to identify vulnerabilities and implement mitigating controls. Analyze legislation, regulatory announcements, and industry practices to develop procedures meeting new requirements. Support the Chief Compliance Officer in managing FINRA broker dealer programs, including board and management reporting, remediation, and process enhancements. This high-visibility role influences stakeholders to drive compliance initiatives within a collaborative, matrixed environment for the US Broker Dealer team.
Required Qualifications
- Bachelor's degree
- 10+ years relevant compliance and/or financial services experience
- Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA)
- Solid understanding of compliance and risk management best practices
- Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment
Desired Qualifications
- Bachelor's degree or professional certification preferred
- 10+ years relevant compliance and/or financial services experience preferred
- Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus
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