Senior Vice President of Compliance Oversight
2 weeks ago
Position Overview:
The role of Senior Vice President of Compliance Oversight is a critical position within a distinguished organization. The incumbent will be tasked with implementing the annual compliance assessment and oversight strategy, defining the review parameters, fostering relationships with essential stakeholders, and managing the resolution of identified compliance issues. Additionally, the individual will engage in special initiatives aimed at improving compliance operations.
- Implement the annual compliance assessment and oversight strategy
- Define review parameters
- Prepare documentation for each assessment in line with organizational standards
- Notify stakeholders of deficiencies prior to report distribution
- Draft reports that detail the scope, assessment methodology, and findings
- Conduct Branch Evaluations
- Assist in the development and monitoring of compliance-related issues
Desired Experience:
- A minimum of 7 years of experience with a registered US broker-dealer or regulatory body
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