Vice President, Business Unit Compliance (Fintech)

TL;DR

Vice President, Business Unit Compliance (Legal/Finance): Maintaining a framework and monitoring for the surveillance and monitoring program with an accent on risk and functional specification documents. Focus on ensuring timely remediation of audit findings, managing the surveillance lifecycle, and leading new initiatives within Private Wealth Management.

Location: Onsite in Salt Lake City, UT, United States

Company

A leading global investment banking, securities, and investment management firm.

What you will do

• Maintain and monitor the surveillance program framework to ensure all deliverables are met.
• Draft risk and functional specification documents and prepare surveillance approval procedures.
• Track annual goals and milestones, ensuring timely remediation of audit and internal testing findings.
• Perform gap analysis and lead new initiatives within Private Wealth Management (PWM).
• Test infrastructure, data quality, and logic, providing feedback prior to launch.
• Manage a team of individuals conducting surveillance within the Compliance function.

Requirements

• Bachelor’s degree in Finance, Economics, Business Management, or a related field.
• 7 years of experience in compliance or a related role.
• Experience with compliance surveillance and monitoring within the financial services industry.
• Proven track record of implementing and rolling out new surveillances and controls.
• Experience training junior staff on surveillance and controls.
• Ability to communicate compliance control recommendations to senior management and stakeholders.