Risk Manager

Top financial services company is seeking a Director of Privacy & Risk Management to lead enterprise-wide compliance risk initiatives, privacy oversight, regulatory testing, policy governance, and strategic compliance programs.

Responsibilities

• :
  Lead and oversee the firm's privacy program and enterprise compliance risk management framewor
• k.Own and execute the risk-based compliance testing program across the organizatio
• n.Conduct compliance risk assessments and prioritize testing activities based on identified risk
• s.Track, monitor, and support remediation efforts related to compliance testing finding
• s.Develop, maintain, and enhance compliance policies and procedures to ensure regulatory alignment and operational effectivenes
• s.Manage regulatory testing, risk assessments, policy governance, and strategic compliance initiative
• s.Partner with business leaders, compliance teams, and stakeholders to identify risks and implement practical solution
• s.Provide guidance on regulatory requirements and emerging compliance risks impacting the organizatio
• n.Lead cross-functional projects and drive initiatives from planning through successful implementatio
• n.Support a culture of compliance while balancing business objectives and regulatory obligation

s.
Qualificatio

• ns:
  Series 7 and Series 24 licenses (or equivalent) requi
• red.Bachelor's degree prefer
• red.10+ years of financial services experience in compliance, risk management, audit, or related discipli
• nes.Strong knowledge of FINRA and SEC regulatory requireme
• nts.Working knowledge of ERISA and Department of Labor regulati
• ons.Understanding of Regulation S-P and privacy-related regulatory requireme