State Licensed Compliance Executive

Job Summary

Leading the firm's enterprise-wide compliance program, the full-time remote Senior Licensed Compliance Executive will ensure effective compliance policies and procedures while providing strategic direction and collaborating with various teams to manage compliance risks and support organizational growth.

Key Responsibilities

• Enhance and align the compliance program with regulatory requirements and business objectives
• Develop and execute a strategic vision for compliance that supports growth and operational excellence
• Oversee compliance policies, monitoring, training, and manage regulatory exams and audits

Required Qualifications

• Bachelor's degree required
• Juris Doctor (JD) from an accredited law school with an active law license
• Minimum 12 years of progressive compliance experience in financial services
• Significant leadership experience in compliance programs and teams
• Proven track record in regulatory exams and technology-driven transformation