Vice President, Compliance & Control

In this role, you’ll make an impact in the following ways: • Partner with business, legal, risk, operations, and other control functions to assess regulatory requirements, resolve compliance matters, support effective governance across business activities, and oversee broker-dealer and bank compliance activities, including outside business activity reviews, personal securities transaction oversight, private placement approvals, customer complaint handling and reporting, G&E tracking, and Rep registrations. • Review marketing materials from a global compliance perspective and provide guidance to ensure alignment with applicable regulatory and internal policy requirements. • Monitor regulatory developments through horizon scanning processes, evaluate potential business impact, and coordinate appropriate follow-up actions with relevant stakeholders. • Develop, maintain, and periodically review policies and standard operating procedures. Prepare and support annual compliance meetings and annual compliance questionnaires for registered individuals. • Support compliance testing and monitoring programs, including e-communication surveillance and other controls designed to identify, escalate, and remediate compliance risks. To be successful in this role, we’re seeking the following: • Individual contributor experience with a bachelor’s degree or MBA required; FINRA Series 7 & 24 license required, based on role requirements. • Strong communication, presentation, and stakeholder management skills, with the ability to engage effectively with internal business partners, control functions, senior stakeholders, and regulatory bodies. • Proven ability to manage regulatory queries, information requests, and related follow-ups in a timely, accurate, and professionally coordinated manner. • Strong working knowledge of applicable laws, rules, and regulations issued by relevant regulators across the U.S., Europe, and other global jurisdictions. • Hands-on experience using AI-enabled tools and the ability to identify and implement AI-driven solutions that improve compliance processes, efficiency, and risk management outcomes.