Senior Compliance Officer

Responsibilities:

• Maintain a strong understanding of applicable regulatory requirements and industry guidance relevant to financial services operations.
• Design, coordinate, and oversee compliance review activities, providing guidance and support to team members involved in monitoring efforts.
• Evaluate customer-facing communications and promotional content to identify regulatory considerations, assess adherence to applicable requirements, and provide compliance feedback and approvals.
• Conduct regulatory research and provide consultative support to internal business units regarding compliance-related questions and operational impacts.
• Support the planning, coordination, and execution of compliance initiatives, process improvements, and special projects.
• Assist with regulatory reviews, audits, and examinations by coordinating information requests, preparing documentation, and supporting examiner interactions.