In this role, you will:

• Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
• Provide compliance risk and regulatory expertise for compliance program elements
• Recommend opportunities for process improvement and risk control development
• Manage coordination and communication with leadership regarding compliance risks
• Implement strategic initiatives with moderate risk and complexity
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and influence all levels of professionals including managers
• Lead team to achieve objectives
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
• Manage allocation of people and financial resources for Compliance
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications, US:

• 14+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 4+ years of Leadership experience

Required Qualifications, International:

• Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Leadership experience

Desired Qualifications:

• •Knowledge of FINRA, SEC & OCC (RSNIP) advertising rules.

•6 + years’ experience in reviewing advertising/promotional material.

•Excellent writing and editorial skills.

•Solid knowledge of products offered through Broker Dealers, RIA’s and/or Bank Trust   Departments

•Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.

•Strong administrative and organizational skills in a deadline-driven environment.

•Ability to work independently and also as part of a high-functioning, collaborative team of professionals, including the ability to form relationships at all levels of the organization.

•Strong ability to prioritize and handle multiple tasks and to be detail oriented in a fast-paced, deadline driven environment. •Knowledge of emerging communications technology, both for working with colleagues, and for assessing the use of marketing content in emerging communications channels, including social media.