Svp Compliance Monitoring And Analytics

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SVP, Compliance Monitoring and Analytics
Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team responsible for product management of monitoring tools, including the vision, design, maintenance, testing and optimization of the tools and platforms used for supervision, surveillance, financial crimes compliance, and other monitoring and testing activities. Lead the team responsible for compliance data analytics and process innovation, including the production of reporting and analyses and process reviews to facilitate insights and optimize the firm’s overall compliance monitoring and controls programs. Play a key role in the Compliance, Legal and Risk (CLR) Transformation initiative, including leading work-streams focused on the overall optimization of monitoring controls and other CLR processes from an advisor experience, employee experience, risk mitigation, and scale/efficiency perspective. Represent the firm on industry committees, roundtables and seminars. Provide strategic guidance and support on special projects to the CCO and Compliance, Legal & Risk Leadership team.

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