Risk Manager enhancing and maintaining Operational Risk Management Framework and Internal Control System at Piraeus Bank. Contributing to regulatory compliance and effective risk identification and assessment across the organization.
About the role
- Director of Supervision Governance leading firm-wide governance and oversight of broker-dealer compliance. Managing a team to ensure regulatory alignment and execute strategic initiatives in a hybrid work environment.
Responsibilities
- Lead the firm-wide governance and oversight of broker-dealer Written Supervisory Procedures (WSPs)
- Manage a team of supervision analysts and/or supervisory principals responsible for executing supervisory reviews, control testing, and procedural documentation.
- Facilitate governance routines, including supervisory committees, policy vetting cycles, and internal audits; prepare agendas, minutes, and follow-up actions.
- Partner with Compliance and Legal to ensure supervisory procedures align with regulatory requirements.
- Oversee supervisory control testing programs and contribute to annual supervisory certifications and reports to senior management.
- Provide strategic leadership on supervision modernization initiatives.
- Serve as escalation point for supervisory issues identified across business units; coordinate remediation plans and ensure timely resolution.
- Support training and development of supervisory staff; foster a culture of accountability, risk awareness, and continuous improvement.
- Provide thought leadership and collaborate with business leaders to ensure existing or new products, services, and strategic initiatives have required supervision necessary to meeting regulatory obligations.
Requirements
- Bachelor’s degree required; advanced degree (JD, MBA) preferred.
- Minimum 10 years of experience in brokerage financial services, with at least 5 years in supervision, compliance, or risk management roles.
- Demonstrated experience managing teams and leading cross-functional initiatives.
- Deep understanding of broker-dealer regulatory framework, including FINRA, SEC, and state securities regulations.
- Active FINRA licenses required: Series 7, Series 24, 9/10, or equivalent supervisory licenses required.
Benefits
- Hybrid working model
- Professional development opportunities
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Not specified
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