Vice President, Compliance Regulatory Initiatives, Training

full-time

Posted on: 9/7/2025

Origin: • 🇺🇸 United States • New York

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💰 $140,000 - $180,000 per year

Lead

About the role

Design and implement a robust Compliance training program for in-scope business lines
Conduct periodic risk-based needs analysis
Develop and maintain annual training and tracking plans to completion
Work with subject matter experts to develop training content
Work with central e-Learning team to deploy online modules and support in-person trainings
Develop methods to measure training effectiveness and track completion
Develop escalation processes for non-completion and draft/maintain training procedures
Participate in ongoing remediation efforts, especially training-related deliverables
Support regulatory challenge frameworks to complete regulatory deliverables
Prepare summaries, presentations, briefing notes and reports for senior management, boards and external stakeholders
Participate in special projects as needed
Act as subject matter expert, lead a team of specialists and manage regulatory remediations

Bachelor's degree or progressive work experience
At least 5-7 years of directly related Compliance experience
5-7 years of experience with a registered US broker dealer, swap dealer, GSIB, or associated regulator (preferred)
Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements
Experience in trade or communications surveillance a plus
Firm understanding of financial product rules and regulatory landscape and market abuse behavior surveillance expectations
Knowledge of trade and communications surveillance tools and vendors
Advanced understanding of testing or audit concepts and control analysis and evaluation
Excellent interpersonal, organizational, leadership and communication (oral and written) skills
Client service skills and ability to partner with senior managers and global stakeholders
Strong analytical skills, attention to detail and data evaluation
Self-starter with ability to learn new business areas and regulatory requirements
Advanced project management skills and ability to manage multiple work streams
Proficient in Excel, Word, PowerPoint and SharePoint
Knowledge of markets surveillance systems and applications a plus