Director of Compliance

Company in Financial Services looking for a Director of Compliance

Essential Duties and Responsibilities

· Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.

· Evaluates compliance and risk management controls and recommends appropriate changes, as required.

· Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

· Partners with GWS business leaders as well as Supervision, Risk, and Legal on key projects and initiatives.

· Recommends compliance solutions for the firm while fostering positive business relationships with department associates and branch associates/affiliates.

· Evaluates the compliance risks, disclosures, and controls for new products and services and potential conflicts of interest.

· Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

· Coaches, trains, and mentors other Compliance associates.

· Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, and investigations.

· May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.

· May oversee compliance exception reporting processes and take appropriate action, as required.

· Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

· Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems and processes.

· Performs other duties and responsibilities as assigned.