Broker Dealer Regulatory Operations Director

Do you have strong problem solving skills? Are you able to identify process and control deficiencies and Make recommendations for improvements? We're looking for someone like that who can:
- Use their product and front-to-back process knowledge to work across multiple Operations functions to design and implement a regulatory control framework.
- Understand risks and apply this knowledge to risk assessments
- Support new or emerging business areas and working with Compliance identify regulatory impact
- Stay aware of current regulatory activity, keeping an eye on how this aligns with risks and Operations impact
- Identify and propose potential solutions for addressing control gaps
- Increase efficiencies by utilizing technology
- Work well in a team environment and be able to work independently on projects / assessments
- Must be proactive in identifying opportunities to improve processes, collaborating across functions and entities - looking for opportunities / synergies across BD Ops functions and aggressively drive improvements and adoption of best practices
- Be vocal and actively engage to solve issues, take ownership for and drive projects to successful completion.

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