💼 About This Role

You'll lead governance frameworks and supervisory controls for a complex financial services environment. You'll oversee change management, audit readiness, and risk documentation while collaborating across compliance and audit teams. This role combines strategic oversight with hands-on execution in a highly regulated setting.

🎯 What You'll Do

• Lead maintenance and improvement of supervisory controls management framework.
• Oversee control governance activities including WSPs and documentation management.
• Coordinate change management for policies, systems, and regulatory updates.
• Prepare leadership reporting on control health, audit readiness, and remediation progress.
• Manage audit and compliance testing readiness and evidence collection.

📋 Requirements

• 7+ years in financial services within supervision, compliance, or operational risk.
• Proven experience managing governance frameworks or control environments in regulated industries.
• Hands-on experience supporting audits, compliance testing, or regulatory exams.
• FINRA Series 7, 63, 65/66, and 24 licenses required.

✨ Nice to Have

• Experience in broker-dealer or wealth management environments.
• Familiarity with enterprise risk systems and three-lines-of-defense operating models.

🎁 Benefits & Perks

• 💰 Competitive salary $104,648 – $174,482 annually.
• 🏥 Comprehensive healthcare medical, dental, vision plans.
• 🏦 401(k) with company match and employee stock purchase.
• 🏖️ Generous PTO and volunteer time off.
• 🔄 Flexible remote work and work-life balance support.

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter Screen· 30 min
2. 2Hiring Manager Interview· 60 min
3. 3Panel Interview· 90 min