Compliance Director, Wealth Management
Thomson Reuters is the leading source of intelligent information for the world's businesses and professionals, providing customers with answers and a competitive advantage. Intelligent information is a unique synthesis of human intelligence, industry expertise and innovative technology that provides decision-makers with the knowledge to act, enabling them to make better decisions faster. We deliver this must-have insight to the financial and risk, legal, tax and accounting, intellectual property and science and media markets, powered by the world's most trusted news organization.
We are seeking an experienced Compliance Director. The Compliance Director is both an individual contributor and leader. The successful candidate will have a proven track record addressing a diverse set of operational compliance issues.
Partner with the Chief Regulatory Officer by taking an active role in Wealth Management regulatory functions as it relates to proposed rules, approved rules, regulatory issues and regulatory risk.
- Manage responses to regulatory inquiries and compliance implementation processes.
- Review regulatory enforcement activities to assist in assessing regulatory view of risk.
- Advocate for regulatory projects as part of demand management; working with other areas to effectively prioritize projects including partnering with colleagues in operational risk, development, and product management.
- Own regulatory risk reporting for review by Chief Regulatory Officer.
- Review regulatory change and manage regulatory notice log process.
- Lead compliance team engagement and day-to-day accountabilities of the compliance team.
- Own client communications including monthly client regulatory call and compliance bulletins.
Technical / Professional Skills & Competencies:
- Ability to build rapport and trust with both internal and external clients.
- Must possess a high level of integrity and professionalism, be articulate, detail-oriented and hard-working.
- Ability to think strategically and creatively, identify and resolve compliance issues.
- Ability to work independently and lead in a fast-paced environment, while also managing other team members.
- Proficiency in MS Office Product Suite including ability to perform data analysis.
Certifications / Education
Subject matter expertise in securities industry operations or operational compliance with an understanding of middle/back office regulatory issues (e.g., LOPR, Customer Protection, Net Capital, Communications to the Public, TIC Reporting, etc.).
Minimum of 7 years of experience in securities industry compliance or operations
At Thomson Reuters, we believe what we do matters. We are passionate about our work, inspired by the impact it has on our business and our customers. As a team, we believe in winning as one – collaborating to reach shared goals, and developing through challenging and meaningful experiences. With over 50,000 employees in more than 100 countries, we work flexibly across boundaries and realize innovations that help shape industries around the world. Bring your ambition to make a difference. We'll bring a world of opportunities.
As a global business we rely on diversity of culture and thought to deliver on our goals. To ensure we can do that, we seek talented, qualified employees in our operations around the world regardless of race, color, sex/gender, including pregnancy, gender identity and expression, national origin, religion, sexual orientation, disability, age, marital status, citizen status, veteran status, or any other protected classification under country or local law. Thomson Reuters is proud to be an Equal Employment Opportunity Employer providing a drug-free workplace.
Intrigued by a challenge as large and fascinating as the world itself? Come join us.
To learn more about what we offer, please visit thomsonreuters.com/careers.
More information about Thomson Reuters can be found on thomsonreuters.com.
Meet Some of Thomson Reuters's Employees
Madlyn works with business leaders at Thomson Reuters to ensure all employees are engaged and operating as efficiently as possible in their respective positions.
Back to top