Director of Regulatory Compliance Operations in New York

As Director, Regulatory Compliance Operations, you will oversee our regulatory approval, regulatory submission, and policies and procedures processes. This role is responsible for ensuring communications and submissions to regulatory agencies are in compliance with applicable requirements for all lines of business. 

• Contributes to the annual Plan risk assessment, collaborating with the various Compliance teams, to assist the enterprise in identifying areas with potential compliance issues.  
• Oversee the Regulatory Compliance Operations unit and their management of regulatory and material submissions and the Policy and Procedure Program. 
• Prepare and update materials for compliance committees including the Compliance Committee and Audit and Compliance Committee of the Board of Directors.
• Serve as the regulatory expert to ensure that marketing practices are consistent with regulatory guidelines. 
• Serve as the liaison...