Vp Complex Product Supervision

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VP, Complex Product Supervision
The candidate will be driving, cultivating, and institutionalizing a sustained and focused effort to enhance risk controls, identifying appropriate service level agreements, and addressing performance via NPS, CSAT and other feedback. Using data analytics and metrics to identify and execute on process efficiencies. Evaluating CPS impact on the overall the firm control environment. Will be responsible for working with individuals from staff to executive level in the various support units within the firm Financial including Technology, Operations, and CLR to complete the various functions above, providing education and direction necessary to enable a culture of compliance. Interfacing with regulators and possess the ability to effectively assess control platforms to identify potential areas of weakness or opportunity. Being a servant leader that builds teams and drives a consultative culture. Bachelor’s Degree in Finance or related field is required; MBA and/or Juris Doctorate is a plus. Should have 10+ years of industry experience (preferably financial services) in internal audit, compliance, risk management and/or other internal control disciplines. FINRA Series 7, 24 and Series 63/65 or Series 66 is required. FINRA Series 9/10 or Series 4 & 53 is preferred.

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