Assistant Vice President (AVP), Compliance Digital Technology Strategy

Position Overview:

AVP, Compliance Digital Technology is a compliance product owner of systems used by the Compliance department and throughout the firm. This position will help execute and deliver on the departments’ compliance technology initiatives. The role will involve working with various internal and external stakeholders to enhance the Compliance program. The position will provide an understanding of tools and programs used across the firm with an opportunity to suggest solutions and lead value driven projects. The role reports to the Head of Compliance Technology Strategy and we seek a motivated and energetic professional to learn compliance, rules and regulations and technologies.

Responsibilities

1. Product ownership of several compliance systems including managing book of work and complete projects.
2. Act as a medium between the firm’s Compliance and Technology departments to enhance workflows and create solutions.
3. Understands compliance operational processes across the different areas of compliance (ie global markets, investment banking and research, AML/financial crimes, central compliance)
4. Maintain vendor relationships while collaborating on projects and enhancements.
5. Manage specific workflows and provide recommendations to improve each process.
6. Lead multiple initiatives and quickly pivot to new projects when necessary.
7. Effectively communicate new initiatives across the firm.
8. Educate the firm on various Compliance tools and resources.
9. Assist with policy and procedures documentation.
10. Attend industry events to learn and understand current issues and available solutions.

Requirements

1. Minimum BA or BS equivalent degree in Finance, Computer Science, Law.
2. 3-5 years of professional experience in Compliance, Technology, or Financial Services.
3. Understanding of the Financial Services industry.
4. Interest in the current regulatory/compliance environment and technologies that support the space.
5. Proficiency in Microsoft Office, especially Excel, PowerPoint, and Word.
6. Experience in data visualization tools (Power BI or Tableau) and/or AI tools a plus.
7. Confidence to effectively communicate and collaborate in a team environment.
8. Desire to be a continuous learner in a fast-paced industry and adaptive to change

Primary Location Full Time Salary Range of $110,000 - $125,000.