VP, Compliance Transformation Program Manager
$150,000–$180,000 year
On-siteNew York, United States
Job Summary
Oversee execution of high-priority TDS Compliance initiatives including DPA/DOJ Remediation, Market Conduct Remediation, and Control Enhancement programs. Maintain an integrated portfolio view of regulatory, audit, and management-driven commitments to support senior management reporting and ensure alignment with business needs. Drive transparency across the Compliance change portfolio by standardizing governance routines, enhancing reporting, and reducing fragmented processes. Partner with Technology, Risk, Legal, and Operations to translate priorities into executable plans while coordinating the annual technology budget process. Monitor portfolio health to identify emerging risks, resource constraints, and delivery challenges.
Required Qualifications
- 10+ years of progressive experience in Compliance, Risk, Regulatory, Audit, Controls, Program Management, or Transformation roles within a global financial services, capital markets, broker-dealer, or similarly complex regulated environment
- Bachelor's degree
- Demonstrated experience leading or contributing to large-scale transformation, remediation, regulatory response, control enhancement, or operating model change programs with senior leadership visibility and cross-functional dependencies
- Strong understanding of Compliance operating models, regulatory expectations, 2nd Line of Defense responsibilities, risk management frameworks, control design, issue management, surveillance, monitoring, testing, governance, and remediation execution
- Proven ability to translate complex Compliance, regulatory, audit, or control priorities into structured execution plans, milestones, deliverables, governance routines, progress reporting, and escalation mechanisms
- Experience supporting regulatory, audit, self-identified, or management-driven remediation initiatives, including milestone validation, dependency tracking, risk and issue management, readiness assessment, and closure discipline
- Strong program governance and portfolio management capabilities, including the ability to manage multiple high-priority initiatives concurrently, maintain an integrated view of execution health, and identify emerging delivery, resource, budget, or control risks
- Experience developing or contributing to executive-ready materials, including portfolio dashboards, steering committee updates, senior management briefings, milestone reporting, risk and issue summaries, decision papers, and budget or investment narratives
- Experience with technology-enabled transformation, including intake and prioritization of technology demand, business case development, budget planning, investment tracking, workflow design, automation, data, reporting, or tooling enhancements
Desired Qualifications
- advanced degree or relevant professional certification, such as MBA, JD, CPA, CAMS, CRCM, PMP, PMI-ACP, Lean Six Sigma, or other Compliance, Risk, Project Management, or Change Management designation
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