Director of Regulatory Compliance

Job Summary

A company is looking for a Director of Regulatory Operations and Compliance.

Key Responsibilities

• Oversee day-to-day fulfillment operations, ensuring accuracy and timeliness in regulatory communications and statement generation
• Develop and implement operational workflows that comply with regulations and meet client expectations
• Manage relationships with third-party vendors and monitor their performance to ensure compliance and service quality

Required Qualifications

• Bachelor's degree in Business, Operations, Compliance, or related field (Master's preferred)
• 10+ years of experience in fulfillment operations and regulatory compliance, preferably in financial services or recordkeeping
• Strong knowledge of IRS, DOL, and other relevant regulations
• Proven ability to operationalize compliance requirements and lead cross-functional initiatives
• Experience in managing and developing teams in a compliance-focused environment