Senior Director of Regulatory Strategy

Job Summary

To advance the firm's proactive regulatory strategy, the full-time Senior Director of Regulatory Strategy will lead enterprise regulatory readiness initiatives, manage regulatory change processes, and serve as a strategic advisor while working remotely.

Key responsibilities

• Support the development and execution of the enterprise regulatory strategy aligned with business priorities and compliance objectives
• Establish and lead a regulatory horizon-scanning process to identify emerging regulatory expectations across various authorities
• Provide leadership and examination-management support during periods of elevated regulatory activity, including significant examinations and inquiries

Required qualifications

• Bachelor's degree
• 12+ years of experience in financial services compliance, regulatory affairs, legal, risk management, or audit
• Deep knowledge of regulatory regimes, particularly SEC, FINRA, and DOL
• Experience leading regulatory examinations and enterprise compliance initiatives
• Strong strategic judgment with the ability to connect regulatory developments to business operations