Senior Director Compliance Monitoring

Job Summary

Leading a team of compliance professionals, the full-time Senior Director Compliance Monitoring will establish strategies for compliance monitoring and surveillance across front-office functions, focusing on identifying compliance control gaps and enhancing compliance programs in a remote environment.

Key responsibilities

• Partner with compliance leadership to set priorities and procedures for the Compliance Monitoring and Surveillance program
• Lead the detection of compliance control gaps and potential violations in sales practices and client interactions
• Develop and implement technology-driven surveillance solutions to enhance compliance monitoring and risk detection

Required qualifications

• Bachelor's degree or equivalent work experience required
• 10+ years of progressive experience in Compliance, Compliance Monitoring and Surveillance, or Risk within the financial services industry
• 8+ years of leadership experience overseeing compliance monitoring and surveillance programs
• FINRA Series 7 and 65, or Series 7 and 66, required or ability to obtain within the corporate-required timeframe
• Demonstrated experience developing and enhancing risk-based compliance monitoring and surveillance programs