Senior Lead Compliance Officer - Structured Products Group

• Serve as subject matter expert on regulatory requirements impacting Structured Products Group
• Provide compliance advisory support for Asset-Backed Securities issuance, syndication, and lending activities
• Support day-to-day SPG compliance program
• Prepare management ready communications and reporting of compliance issues
• Execute on compliance initiatives impacting SPG mandate
• Oversee and challenge execution of compliance programs by Front Line
• Develop, implement, and monitor risk-based compliance programs and controls
• Provide regulatory compliance risk expertise for high-risk projects
• Conduct compliance risk assessments and support regulatory exams
• Monitor and assess regulatory developments
• Design and deliver targeted compliance awareness training
• Collaborate with Legal, Risk, Audit, and other internal stakeholders
• Support regulatory change management and corrective action planning
• Assess employee licensing requirements and ensure compliance with registration obligations

• 7+ years of Compliance experience
• Expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer and ABS activities
• Familiarity with traditional lending regulations (Reg B, FCRA, UDAAP, SCRA, Reg W, Reg O, FDPA)
• Experience executing compliance activities related to Structured Products origination, syndications and lending
• Knowledge of CFPB and consumer lending regulatory frameworks
• Strong knowledge of capital markets and broker-dealer regulations
• Experience with Fixed Income and Structured Products compliance programs
• Excellent communication, analytical, and problem-solving skills
• Demonstrated ability to manage multiple priorities in a fast-paced environment
• Proven experience drafting policies and procedures and delivering compliance training
• Ability to work independently and collaboratively in a team-oriented setting

Advanced degree or certification (JD, CRCM, etc.)

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance
• Critical illness insurance
• Accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement