Compliance Operations Sr. Manager

Compliance Operations & Execution:

• Lead and coordinate Compliance Operations programs, projects, and recurring obligations.
• Manage assigned personnel, including setting priorities, allocating work, and providing coaching.
• Develop and maintain project plans for complex compliance initiatives with multiple stakeholders.

GRC, Workflow & Process Improvement:

• Support the continued development and adoption of the firm's GRC and workflow capabilities.
• Translate compliance requirements into structured workflows with defined ownership and deadlines.
• Leverage technology to improve management of compliance obligations and reporting.

Policies, Procedures & Governance:

• Support the firm's compliance policy and procedure governance process.
• Coordinate with subject-matter experts to develop and maintain policies.
• Promote consistent documentation and identify gaps between procedures and practices.

Other Compliance Programs & Support:

• Provide operational and project-management support for regulatory examinations and compliance testing.
• Manage or support additional compliance programs as needed.
• Drive service improvement through AI and digital tools.