Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew.
Leads the strategy, operational communication approach, and master change management program plan for broad, complex initiatives.
Creates and maintains the business transformation strategy that identifies specific actions and tasks needed to achieve future state goals.
Works collaboratively with all business leaders and other impacted departments.
Builds and maintains strategic relationships across sites, departments, divisions, and internal and external partners.
Ensures all steps are taken to mitigate risk, maintains control, compliance, audit, and legal requirements.
Develops measurement processes for change management success.

Minimum of eight years related work experience
Five years of business transformation and or change management experience
Supervisory experience preferred
Undergraduate degree or equivalent combination of training and experience required
Graduate degree preferred
8+ years of progressive experience in broker-dealer compliance, regulatory risk, or conduct supervision, including ownership of enterprise regulatory programs
Proven experience designing and maintaining governance frameworks, policies, controls, monitoring, and testing programs for retail advice or investment recommendations
FINRA Series 7 and Series 24 (or ability to obtain); professional certifications (CRCM, CCEP, CFA, or PMP) preferred but not required

Senior Manager – Regulation Best Interest Program

Key skills