Director Of Compliance

Profile

Director of Compliance
The candidate will report to the VP of Risk and Compliance (and the Audit & Risk Committee of the board). Will lead compliance program on a day to day basis and continue its overall maturation. Implement all necessary actions to ensure achievement of program objectives. Work cross functionally with other departments to assure adherence to applicable laws, regulations, frameworks, and code of conduct. Work very closely with the VP of Risk & Compliance to continue build-out and implementation of the Compliance Program. Liaise with 1) senior and executive leadership firmwide, as well as the board; 2) federal and state regulators/supervisors. Leverage financial services compliance subject-matter expertise. Develop/deliver/mature programmatic elements (i.e., compliance policy/charter/roadmap, compliance risk assessment, policies/standards/procedures/code, training/awareness, culture/tone/incentives, testing/review, complaints/investigations, corrective action, M&A/third-party due diligence, board/management reporting/oversight, regulator liaison/exam support). Leverage programmatic elements, in collaboration with other teams (e.g., Legal, People, Internal Audit) to assure compliance (and thus prevent illegal, unethical, or improper conduct). Conduct testing and review to identify control gaps and ensure that such gaps are resolved. Identify alleged instances of noncompliance (not least potential violations of laws/regulations) via complaints and other mechanisms, investigate, and recommend appropriate corrective/disciplinary action. Ensure proper reporting to regulatory/supervisory/enforcement agencies. Brief leadership and the board on compliance issues and program status. Track program effectiveness, address issues therein. Manage day-to-day program operations.

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