Vice President, Compliance & Control

We’re seeking a future team member for the role of Vice President, Compliance & Control to join our Risk & Compliance team. This role is located in Lake Mary, FL & Pittsburgh, PA. 

In this role, you’ll make an impact in the following ways:

• Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development.
• Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements.
• Primarily responsible for ensuring the overall integrity of Large Option Position Reporting submitted to regulators.
• Validates control processes for various regulatory reporting functions to ensure compliance with laws, rules and regulations.
• Partners with business unit managers to respond to reports issued by regulatory agencies or audit.

• May have contact with outside regulators, government officials, and senior Business Unit managers.  

   

To be successful in this role, we’re seeking the following: 

• BA/BS, MBA or professional certification preferred.
• 7-10 years relevant product/financial services and/or auditing or compliance experience preferred.
• Thorough knowledge of Financial Services rules and regulations.
• Excellent problem solving, analytical ability, oral and written communication skills.
• The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
• Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
• Preferred Skills – Ability to work independently and in a team environment.
• Preferred Skills – Knowledge and understanding of Options positions including trade processing.