Associate Director

Associate Director, US Capital Markets RCM Strategy and Execution Associate Director, US Capital Markets RCM Strategy and Execution offers direct exposure to senior leadership, strategic influence over compliance initiatives, and ownership of regulatory strategy shaping performance. You will direct the RCM framework ensuring adherence to standards and lead regulatory change implementation across securities regulators (SEC, FINRA, CFTC). We offer a collaborative compliance culture valuing expertise, initiative, and continuous improvement‑along with strong career progression and opportunity to expand technical and strategic acumen. For someone driven beyond tactical compliance into strategic partnership with senior business leaders, this role provides significant challenge and visibility in a high‑impact team. What will you do? Coordinate centralized RCM processes including annual Baseline Inherent Risk Ratings, Risk Assessments, High‑Level Planning, and Issues Management across US Capital Markets. Coordinate annual Training Needs Analysis, compliance testing plan development, and Quality Assurance Review processes with CUSO and Enterprise teams. Manage regulatory change implementation across securities regulators (SEC, FINRA, CFTC), including scoping exercises, impact analysis, and consistent regulatory strategy. Coordinate with US Capital Markets Segment Compliance, business stakeholders, and functional partners on rule changes and business requirements. Provide regular reporting on rule implementation status to senior stakeholders, escalating concerns and identifying resolutions. Identify and implement technology solutions to enhance efficiency of RCM and regulatory change programs. Drive Lessons Learned enhancements to address QAR, testing, and audit findings. Act as escalation point for US Capital Markets regulatory change and RCM questions or issues. What do you need to succeed? Must have: 5‑7 years of compliance and regulatory experience with strong subject matter knowledge in US securities regulation impacting US Capital Markets. Extensive knowledge of compliance and risk issues specific to US Capital Markets entities and familiarity with US Capital Markets products, strategies, and activities at US‑registered broker‑dealers. Demonstrated ability to manage multiple, time‑sensitive workstreams independently while collaborating effectively in team environments. Knowledge of RCM framework and compliance management processes, with ability to work under short deadlines and make quick, reasoned decisions. Strong technical skills to enhance efficiency and tracking of US Capital Markets processes, combined with project management expertise. Nice‑to‑have Previous experience at a Big 4 Firm or Consulting Firm. Experience coordinating with regulatory bodies or managing enterprise‑wide compliance initiatives; Project Management Professional (PMP) certification a plus. Experience with global compliance programs and cross‑functional regulatory working groups. Experience with business intelligence tools, compliance technology platforms, and working knowledge of SQL, Python, or other data analysis tools. What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable. Leaders who support your development through coaching and managing opportunities. Ability to make a difference and lasting impact. Work in a dynamic, collaborative, progressive, and high‑performing team. A world‑class training program in financial services. Flexible work/life balance options. Opportunities to do challenging work. Salary The good‑faith expected salary range for the above position is $120,000 - $200,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company‑matching contributions; health, dental, vision, life and disability insurance; and paid time‑off plan. Job Skills Audits, Compliance, Business Requirements, Change Management, Compliance Management, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Impact Analysis, Industry Knowledge, Interpersonal Relationship Management, Process Implementations, Product Services, Risk Management, Strategic Thinking. #J-18808-Ljbffr