VP, Business Compliance Officer - Wealth Management

In this position, you will make a strategic impact by:

• Enhancing and managing the compliance program supporting Wealth businesses, ensuring alignment with regulatory standards across OCC, consumer banking regulations, SEC, and FINRA.
• Building strong partnerships with business leaders to address regulatory findings, lead audit/exam discussions, and present to senior management.
• Advising on compliance considerations related to new products, services, and initiatives, including designing appropriate controls and monitoring mechanisms.
• Developing and executing monitoring, testing, and risk assessment programs within a dynamic and evolving business model.
• Managing key elements of the compliance framework including policies, procedures, issue management, and ongoing reporting.
• Serving as a subject matter expert within governance forums and advising stakeholders across Wealth Management.
• Working with technology and product teams to integrate compliance expectations into product development and operational workflows.
• Supporting interactions with regulators by preparing materials, coordinating responses, and contributing to strategy for regulatory engagements.
• Influencing cross‑functional teams and stakeholders through strong communication, leadership presence, and analytical insight.
• Preparing executive‑level reporting, dashboards, and risk summaries for leadership and board committees.