The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job is responsible for establishing operating routines and procedures that enable sound supervisory practices.
Key Responsibilities and Duties- Creates and maintains processes that ensure adherence to regulatory requirements.
- Designs the evaluation and testing of regulatory processes and controls.
- Presents reports of Compliance findings and applicable recommendations to management.
- Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
- Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
- Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
Educational Requirements- University (Degree) Preferred
Work Experience- 5+ Years Required; 7+ Years Preferred
FINRA Registrations- SRC Indicator: Series 7; Series 24
Physical Requirements- Physical Requirements: Sedentary Work
Career Level 9IC
This role works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls. Ideal candidates would have strong product knowledge, technical skills, and thrive in a collaborative, fast-paced environment.
Additional Information For Posting
Required Experience:- 5+ years of experience
- FINRA Series 7
- FINRA Series 24 (to be obtained within 120 days)
Preferred Experience:Related Skills
Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring
Anticipated Posting End Date:2026-09-08
Base Pay Range: $92,300/yr - $122,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
