Job Location : New York,NY, USA
Director of Compliance Initiatives
About the Company
Join a well-established investment bank that is committed to maintaining the highest standards of regulatory compliance.
Industry Investment Banking
Type Privately Held
About the Role
The Company is actively seeking a proactive and results-oriented Director for Compliance Initiatives. In this pivotal role, you will take the lead on governance and reporting related to compliance remediation and modernization. You will oversee the remediation of regulatory and audit findings and play a crucial role in developing and implementing review frameworks for regulatory deliverables. Your focus will be on streamlining compliance reporting and tracking the progress of all compliance-related audit issues.
Collaboration will be key as you work closely with the regulatory change team to interpret, advise on, and ensure adherence to current and emerging regulatory requirements. You will prepare various documentation to provide updates on compliance status to the Chief Compliance Officer and other leadership team members.
To excel in this role, a robust background in compliance, particularly within the financial services sector, is essential. Your expertise in process optimization will allow you to develop and implement effective frameworks, ensuring timely and accurate compliance reporting. We are looking for a candidate with a proven track record in holistic process improvement, capable of identifying opportunities to enhance productivity and operational efficiency.
Furthermore, you will play an essential role in cultivating a strong compliance culture within the organization, aiding in people development, and driving effective training programs. A deep understanding of both current and emerging regulatory and compliance issues is critical for this position. Join us in managing operational risks and ensuring strict adherence to our internal policies and regulatory guidelines.
Hiring Manager Title Chief Compliance Officer (CCO)
Travel Percent Less than 10%
Functions