Vice President, Compliance & Control
About The Position
We’re 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, you’ll 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.
Requirements
- 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.
Nice To Haves
- Ability to work independently and in a team environment.
- Knowledge and understanding of Options positions including trade processing.
Responsibilities
- 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.
Benefits
- Highly competitive compensation
- Benefits and wellbeing programs
- Access to flexible global resources and tools
- Generous paid leaves
- Paid volunteer time
- 401(k) plan
- Company-sponsored medical, dental, vision, and basic life insurance plans
- Various paid time off benefits, such as vacation and sick time
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Executive
Education Level
Associate degree
Number of Employees
1-10 employees
