Summary:
The VP – Enterprise Compliance Technology Solutions leads the development and execution of a multi-year technology strategy for the Enterprise Compliance function, leveraging advancements in AI and machine learning to enhance efficiency and proactive risk management.
The individual in this role provides expertise on how emerging technologies can impact regulatory compliance and represents the department in industry groups focused on compliance and technology. This includes overseeing the Compliance Systems Management (CSM) division, which is responsible for the strategy and effectiveness of compliance surveillance systems, data analytics programs, and regulatory monitoring processes. Ensuring data governance and the strategic application of analytics to enhance decision-making and risk management are also key responsibilities.
In addition, the role oversees the Technology Governance & Regulatory (TGR) team, which is responsible for providing expert consulting on compliant use of technology for all enterprise stakeholders in field and home office, maintaining the electronic communications and social media compliance programs, and has accountability for the governance, risk and compliance technology capabilities for the compliance programs.
Job Responsibilities/Skills for the Role:
Develops and leads the Enterprise Compliance Department’s strategic technology strategy, aligning department initiatives and the technology portfolio with enterprise strategy, initiatives, and business goals. Maintains strong relationships with business, risk, technology, and data partners, leads assigned divisions and teams, and fosters a culture of compliance through strategy, operations, and enterprise partnership.
Drives the integration of advanced technologies—including AI, machine learning, and workflow automation—into compliance operations to improve efficiency, agility, and proactive risk management. Provides expert guidance on the regulatory impact of emerging technologies, represents Compliance in industry groups, and translates technology and regulatory trends into actionable guidance.
Owns the design, development, and effectiveness of the enterprise’s compliance surveillance systems and data analytics programs, and directs monitoring, surveillance, and analytics strategy to ensure subject matter experts retain technical/product knowledge, prioritize enhancements, and measure value. Collaborates with data scientists, engineers, and product teams to implement the technology portfolio strategy and determine regulatory monitoring requirements across the life insurance company and regulated subsidiaries.
Develops and owns the department’s data analytics and Data Governance strategies, ensuring data quality, documentation, lineage, and controls. Identifies analytics-driven insights to advance company strategy, proactively manage risk, and increase consistency and data quality across Compliance, while building the team’s analytics expertise and digital fluency.
Leads interdepartmental initiatives to address sales practices, monitoring needs and delivers monitoring processes to support home office supervision and field management. Develops the compliance testing strategy and operating plan for transaction surveillance systems, leads testing teams, operationalizes proof‑of‑concepts into ongoing testing, and applies outcomes to enhance architecture, rules, and data sourcing.
Leads the Technology Governance & Regulatory (TGR) team and the Compliance by Design (CbD) process to integrate compliance requirements into Authorization to Operate (ATO) protocols. Advises on technology investments and third‑party vendor reviews, oversees e‑communications, social media, and books & records compliance, and owns GRC technology capabilities while collaborating to mature enterprise GRC instances and integrations.
Qualifications:
A Bachelor’s degree (preferably with emphasis in broker dealer compliance) or equivalent experience and a minimum of 10 years of progressive compliance, supervision, technology or distribution leadership
Apply exceptional technical and analytical capabilities to use data and metrics for decision-making and builds multiyear technology roadmaps and successful partnerships with technology vendors.
Demonstrate strong organizational leadership and the ability to cultivate relationships and influence at all levels.
Experience in the investment, variable insurance, securities, or wealth management industry, including work with a national retail sales organization. (Preferred)
Possess thorough knowledge of federal and state securities and insurance regulations and regulatory expectations for broker dealers and advisory practices, and demonstrates strong strategic thinking, risk management, and decision-making skills. (Preferred)
Communicate complex compliance matters clearly to technical and nontechnical audiences, leads complex compliance programs and teams, and cultivates strong relationships across all levels of the organization.
Series 7 and 24 licenses (Preferred)
Compensation Range:
Pay Range - Start:
Pay Range - End:
$294,000.00
This role is eligible for additional short-term and long-term incentive compensation.
We believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
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