Asset Management

Posted 13 days ago

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The Vice President, Compliance & Control leads and manages complex compliance efforts, ensuring the Company adheres to financial services regulations. Based in Lake Mary, FL & Pittsburgh, PA, this senior role requires a BS/BA degree and 7-10+ years in relevant product, compliance, or auditing experience. Key responsibilities include: - Managing compliance programs and project development - Analyzing legislation and industry practices to meet regulatory requirements - Validating control processes for regulatory reporting functions - Partnering with business units to respond to regulatory reports and audit findings - Interfacing with external regulators and senior management Essential skills: - Thorough knowledge of financial services rules and regulations - Excellent problem-solving, analytical, written, and oral communication skills - Ability to handle stressful situations and influence business decisions - Preferred: MBA or professional certification, options positions knowledge This role offers a dynamic work environment and opportunity to make a significant impact on the Company's compliance strategy.

Compensation: Not specified
City: Not specified
Country: United States

Full Job Description

Were seeking a future team member for the role of Vice President, Compliance & Control to join our Risk & Compliance team. This role is located in Lake Mary, FL & Pittsburgh, PA.

In this role, youll make an impact in the following ways:

Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development.
Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements.
Primarily responsible for ensuring the overall integrity of Large Option Position Reporting submitted to regulators.
Validates control processes for various regulatory reporting functions to ensure compliance with laws, rules and regulations.
Partners with business unit managers to respond to reports issued by regulatory agencies or audit.
May have contact with outside regulators, government officials, and senior Business Unit managers.

To be successful in this role, were seeking the following:

BA/BS, MBA or professional certification preferred.
7-10+ years relevant product/financial services and/or auditing or compliance experience preferred.
Thorough knowledge of Financial Services rules and regulations.
Excellent problem solving, analytical ability, oral and written communication skills.
The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
Preferred Skills Ability to work independently and in a team environment.
Preferred Skills Knowledge and understanding of Options positions including trade processing.

Full Job Description

Were seeking a future team member for the role of Vice President, Compliance & Control to join our Risk & Compliance team. This role is located in Lake Mary, FL & Pittsburgh, PA.

In this role, youll make an impact in the following ways:

Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development.
Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements.
Primarily responsible for ensuring the overall integrity of Large Option Position Reporting submitted to regulators.
Validates control processes for various regulatory reporting functions to ensure compliance with laws, rules and regulations.
Partners with business unit managers to respond to reports issued by regulatory agencies or audit.
May have contact with outside regulators, government officials, and senior Business Unit managers.

To be successful in this role, were seeking the following:

BA/BS, MBA or professional certification preferred.
7-10+ years relevant product/financial services and/or auditing or compliance experience preferred.
Thorough knowledge of Financial Services rules and regulations.
Excellent problem solving, analytical ability, oral and written communication skills.
The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
Preferred Skills Ability to work independently and in a team environment.
Preferred Skills Knowledge and understanding of Options positions including trade processing.

Vice President, Compliance & Control

Full Job Description

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Full Job Description

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