Director, Compliance IT

• Oversees the Technology Compliance Program and Governance Framework.
• Drives the ongoing development of applicable methodology(s) used across the Information Technology Compliance program to ensure global consistency and scalability.
• Advises senior leadership on emerging technology compliance risks and regulatory expectations.
• Conducts compliance risk assessments across technology, cybersecurity, data privacy, AI, cloud, and third-party risk domains.
• Develops and ensures appropriate execution of IT compliance monitoring and testing activities.
• Leads regulatory change management and evaluate the impact of new regulatory requirements.
• Partners closely with Information Technology, Information Security, Privacy, Legal, Enterprise Risk, Internal Audit, and business leadership to ensure regulatory compliance while maintaining independent oversight of first line activities.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry and banking compliance.
• Information Technology and Information Security controls and regulations
• Rules and regulations of the Office of the Comptroller of the Currency (OCC), Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Section 404 of the Sarbanes-Oxley Act of 2002.
• Retail and clearing firm operations.
• Financial markets and products.
• Investment concepts, practices and procedures used in the securities industry.

Advanced skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Preparing oral and/or written reports.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Maintain attention to detail while also maintaining a big picture orientation.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Establish and communicate clear directions and priorities.
• Gather information, identify linkages and trends, and apply findings to operations.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).
• Work independently as well as collaboratively within a team environment to resolve problems.

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
• Minimum five (5) years management experience within the financial services industry., * Any equivalent combination of experience, education, and/or training approved by Human Resources., * Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.