Managing Director of Compliance Initiatives

About the Company

Well-established investment bank

Industry Investment Banking

Type Privately Held

About the Role

The Company is seeking a Managing Director for Compliance Initiatives. The successful candidate will be responsible for the ownership and implementation of governance and reporting related to compliance remediation and modernization. This includes overseeing the remediation of regulatory and audit findings, developing and implementing review and challenge frameworks for regulatory deliverables, and streamlining compliance reporting. The role also involves tracking and overseeing the progress of all compliance-related audit issues, working closely with the regulatory change team to interpret and advise on compliance with current and emerging regulatory issues, and preparing various documentation to report on the status of compliance.

Applicants for the Managing Director position in Compliance Initiatives at the company should have a strong background in compliance, particularly in the financial services sector. The role requires the ability to inform business process optimization, develop and implement appropriate frameworks, and ensure timely reporting to the Chief Compliance Officer. The ideal candidate will have experience in holistic process improvement, be adept at identifying and recommending opportunities for enhancing productivity and operational efficiency, and be capable of setting a strong compliance culture and leading people development and training. A deep understanding of regulatory and compliance issues, both current and emerging, is essential, as is the ability to work with the leadership team to manage operational risks and ensure adherence to internal policies and regulatory guidelines.

Hiring Manager Title CCO

Travel Percent Less than 10%

Functions

Business Development Finance Strategy