LG
LevelUp GroupLead Consultant – Data Privacy & Compliance
Lead Consultant in Data Privacy & Compliance guiding clients on privacy law. Develop services and manage a team at Cloud Nine Digital specializing in data solutions.
About the role
- Play a critical role in the execution and implementation of the Compliance Program for Huntington’s Investment Banking Broker Dealers and Wealth Management Division.
- Oversee a team of experienced Compliance Professionals and partner with senior leaders to ensure effective governance and controls within the Compliance Framework.
- Oversee broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance.
- Support oversight and integration of affiliate Insurance activities into the Compliance Program structure.
- Build relationships with regulators, acting as liaison for broker-dealer regulatory inquiries.
- Advise and collaborate with Business, Legal and Risk partners to achieve Compliance Program standards.
Requirements
- Bachelor’s degree
- Experience as broker dealer Chief Compliance Officer or lead compliance director for investment banking/M&A at like size or larger organization.
- 10+ years of progressively responsible compliance/securities industry experience required.
- Series 7 and 24 with the ability to obtain within 6 months of hire.
- Experience or exposure to Swap Dealer Compliance programs.
- Ability to work in a fast-paced environment with professionalism, courtesy and tact.
- Excellent interpersonal, oral and written communication skills.
- Excellent critical thinking and problem-solving skills.
Benefits
- health insurance coverage
- wellness program
- life and disability insurance
- retirement savings plan
- paid leave programs
- paid holidays
- paid time off (PTO)
Job title
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