Senior Director, Business Unit Compliance Liaison

In this role you will lead the centralized risk team for Wealth Management Solutions, shaping governance and risk programs to mitigate operational, financial, regulatory and compliance risk. You will coordinate governance forums, regulatory reporting, policy oversight, and audits while partnering with senior leaders and regulators. The position emphasizes building an effective risk culture and driving continuous improvement across the organization. This is a chance to influence risk management at a large, client-centric financial services firm and to lead a high-impact team.

• base salary
• pay-for-performance compensation
• bonus and/or long-term incentives
• 401(k)
• health, dental and life insurances
• vacation and sick time

• Oversee governance, risk, and control functions to mitigate operational, financial, regulatory and compliance risk
• Manage regulatory reporting, control functions, dashboards, GL reconciliations and related reporting processes
• Lead governance routines and committee coordination (product, business review, risk, conflicts, Regulation Best Interest)
• Own and coordinate risk program meetings, regulatory budgeting, risk events, process inventory, and risk/controls assessment
• Oversee policy, procedures, supervisory controls, Regulation Best Interest disclosures, books/records, revenue sharing, communications, business continuity and self-monitoring
• Coordinate internal and external audits, regulatory requests, vendor risk oversight, licensing reporting, and certifications
• Act as primary liaison with business partners, Internal Audit, Compliance, Legal and regulators; engage in industry advocacy
• Identify control gaps, assess material risk, and implement remediation strategies in a cost-effective way
• Build partnerships with senior leaders to support governance and risk objectives
• Promote continuous improvement and a strong risk-aware culture across Wealth Management Solutions
• Lead and develop a team of risk professionals with focus on performance management and career development
• Foster accountability, risk awareness, and ongoing improvement across the organization

• 10+ years of financial services experience with focus on risk management, controls, and broker-dealer operations
• Active FINRA Series 7 and Series 24 licenses
• Strong knowledge of broker-dealer regulations and regulatory reporting frameworks
• Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk and related oversight routines
• Proven ability to influence and collaborate across business lines and external stakeholders
• Prior team leadership experience
• Strong relationship-building and communication skills to identify and mitigate risks
• Strong analytical, organizational and time management skills
• Ability to drive results and meet deadlines to reduce risks
• Strong written and verbal communication skills
• Must be able to work independently

• relationship building
• clear communication
• leadership
• broker-dealer regulations
• regulatory reporting frameworks
• risk governance