Svp Deputy Cco

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SVP, Deputy CCO
Responsibilities: Lead the team responsible for regulatory exams and inquiries and other regulatory affairs; as well as responsible for performing regulatory event (both internal and external) tracking and attendant controls reviews. Lead the teams responsible for regulatory change management and rule tracking, enterprise policy governance and policy management, compliance training and continuing education, as well as compliance communications to the field and internal business partners. Lead the team responsible for overall compliance program management and risk assurance, including the compliance program assessment, compliance risk assessments, compliance testing strategy and testing in support of FINRA Rules 3120 and 3110, the Investment Adviser Annual Review, etc.; as well as responsible for overseeing departmental quality control efforts, issue management, program level KPIs and KRIs, and overall governance. Coordinate and/or provide advice to the Compliance Department and business units as it pertains to rule interpretations and requirements, as well as regulatory exposure and other legal implications. Liaise closely with the Litigation, Regulatory Enforcement & Investigations teams to understand the implications of current matters and developing trends. Represent Compliance on various governance committees. Lead or represent Compliance on key initiatives, including remediation projects, M&A reviews, enterprise risk assessments, broader assurance initiatives, and others as assigned. Assist the CCO in ensuring that key projects including rule change implementations, remediation initiatives, regulatory commitments, and control enhancements are appropriately executed. 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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