Associate Director, Capital Markets RCM Strategy and Execution
About The Position
The Associate Director, US Capital Markets RCM Strategy and Execution role offers direct exposure to senior leadership, strategic influence over compliance initiatives, and ownership of regulatory strategy shaping performance. The individual will direct the RCM framework ensuring adherence to standards and lead regulatory change implementation across securities regulators (SEC, FINRA, CFTC). The company offers a collaborative compliance culture valuing expertise, initiative, and continuous improvement—along with strong career progression and opportunity to expand technical and strategic acumen. For someone driven beyond tactical compliance into strategic partnership with senior business leaders, this role provides significant challenge and visibility in a high-impact team.
Requirements
- 5-7 years of compliance and regulatory experience with strong subject matter knowledge in US securities regulation impacting US Capital Markets.
- Extensive knowledge of compliance and risk issues specific to US Capital Markets entities and familiarity with US Capital Markets products, strategies, and activities at US-registered broker-dealers.
- Demonstrated ability to manage multiple, time-sensitive workstreams independently while collaborating effectively in team environments.
- Knowledge of RCM framework and compliance management processes, with ability to work under short deadlines and make quick, reasoned decisions.
- Strong technical skills to enhance efficiency and tracking of US Capital Markets processes, combined with project management expertise.
Nice To Haves
- Previous experience at a Big 4 Firm or Consulting Firm
- Experience coordinating with regulatory bodies or managing enterprise-wide compliance initiatives; Project Management Professional (PMP) certification a plus.
- Experience with global compliance programs and cross-functional regulatory working groups.
- Experience with business intelligence tools, compliance technology platforms, and working knowledge of SQL, Python, or other data analysis tools
Responsibilities
- Coordinate centralized RCM processes including annual Baseline Inherent Risk Ratings, Risk Assessments, High-Level Planning, and Issues Management across US Capital Markets.
- Coordinate annual Training Needs Analysis, compliance testing plan development, and Quality Assurance Review processes with CUSO and Enterprise teams.
- Manage regulatory change implementation across securities regulators (SEC, FINRA, CFTC), including scoping exercises, impact analysis, and consistent regulatory strategy.
- Coordinate with US Capital Markets Segment Compliance, business stakeholders, and functional partners on rule changes and business requirements.
- Provide regular reporting on rule implementation status to senior stakeholders, escalating concerns and identifying resolutions.
- Identify and implement technology solutions to enhance efficiency of RCM and regulatory change programs.
- Drive Lessons Learned enhancements to address QAR, testing, and audit findings.
- Act as escalation point for US Capital Markets regulatory change and RCM questions or issues.
Benefits
- bonuses
- flexible benefits
- competitive compensation
- commissions
- stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- A world-class training program in financial services
- Flexible work/life balance options
- Opportunities to do challenging work
- 401(k) program with company-matching contributions
- health, dental, vision, life and disability insurance
- paid time-off plan
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
