Director, Compliance IT

** Essential Duties and Responsibilities*
* + Oversees the Technology Compliance Program and Governance Framework.

+ Drives the ongoing development of applicable methodology(s) used across the Information Technology Compliance program to ensure global consistency and scalability.

+ Advises senior leadership on emerging technology compliance risks and regulatory expectations.

+ Conducts compliance risk assessments across technology, cybersecurity, data privacy, AI, cloud, and third-party risk domains.

+ Develops and ensures appropriate execution of IT compliance monitoring and testing activities.

+ Leads regulatory change management and evaluate the impact of new regulatory requirements.

+ Partners closely with Information Technology, Information Security, Privacy, Legal, Enterprise Risk, Internal Audit, and business leadership to ensure regulatory compliance while maintaining independent oversight of first line activities.

+ Performs other duties and responsibilities as assigned.

** Knowledge, Skills, and Abilities*
* ** Advanced Knowledge of:*
* + Concepts, practices, and procedures of securities industry and banking compliance.

+ Information Technology and Information Security controls and regulations

+ Rules and regulations of the Office of the Comptroller of the Currency (OCC), Securities Exchange Commission (SEC);
Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

+ Section 404 of the Sarbanes-Oxley Act of 2002.

+ Retail and clearing firm operations.

+ Financial markets and products.

+ Investment concepts, practices and procedures used in the securities industry.

** Advanced skill in:*
* + Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

+ Preparing oral and/or written reports.

+ Project management skills and experience sufficient to successfully complete long and short-term projects.

+ Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

** Ability to:*
* + Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Maintain attention to detail while also maintaining a big picture orientation.

+ Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

+ Establish and communicate clear directions and priorities.

+ Gather information, identify linkages and trends, and apply findings to operations.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

+ Work independently as well as collaboratively within a team environment to resolve problems.

** Educational/Previous Experience Requirements*
* + Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred.  Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

+ Minimum five (5) years management experience within the financial services industry.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

** Licenses/Certifications*
* + None Required.

+ Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.