Vice President OF Compliance

Compliance Transformation Team LeaderPreferred Qualifications:The Compliance Transformation team is focused on strengthening how TDS Compliance delivers against its most critical regulatory, remediation, technology, and control priorities. The team provides the structure, governance, and execution discipline needed to move complex initiatives from strategy to implementation, ensuring commitments are clearly defined, risks are actively managed, progress is transparent, and outcomes are aligned to regulatory expectations and business needs.This role will be responsible for overseeing the execution high priority and high visibility initiatives for TDS Compliance such as the DPA / DOJ Remediation, Market Conduct Remediation program, Control Enhancement Program, Compliance Evolution / Road to Strong initiative, etc.Depth & Scope:Contribute to the program management function for TDS Compliance initiatives, ensuring strong governance, disciplined execution, and timely delivery of strategic, regulatory, remediation, and control-related priorities.Assist in maintaining an integrated portfolio view of remediation commitments, including regulatory, audit, self-identified, and management-driven initiatives, to support oversight and senior management reporting.Assist in overseeing remediation execution, including milestone tracking, dependency management, risk and issue identification, escalation, and support for resolving blockers or scope changes.Provide informed challenge to project owners and workstream leads by applying both project management discipline and practical Compliance knowledge across regulatory expectations, controls, surveillance, monitoring, governance, and remediation.Drive transparency and accountability across the Compliance change portfolio by ensuring initiatives are clearly scoped, appropriately resourced, measurable, and aligned to business, regulatory, and Compliance priorities.Assist in developing executive-ready reporting for senior Compliance leadership, including dashboards, milestone updates, risk and issue summaries, budget impacts, dependency tracking, and forward-looking delivery views.Assist in coordinating the annual TDS Compliance technology budget process, including intake of technology requests, prioritization, business case development, investment tracking, and alignment of funding to risk mitigation and Compliance value.Partner across Compliance, Technology, 1A/1B, Risk, Legal, Operations, and other stakeholders to translate Compliance priorities into executable plans and deliverables.Assist in monitoring portfolio health and identify emerging risks, including delivery challenges, resource constraints, budget pressures, and control implications.Improve execution practices across TDS Compliance by standardizing templates, strengthening governance routines, enhancing reporting, improving dependency management, and reducing fragmented or manual processes.Education & Experience:10+ years of progressive experience in Compliance, Risk, Regulatory, Audit, Controls, Program Management, or Transformation roles within a global financial services, capital markets, broker-dealer, or similarly complex regulated environment.Demonstrated experience leading or contributing to large-scale transformation, remediation, regulatory response, control enhancement, or operating model change programs with senior leadership visibility and cross-functional dependencies.Strong understanding of Compliance operating models, regulatory expectations, 2nd Line of Defense responsibilities, risk management frameworks, control design, issue management, surveillance, monitoring, testing, governance, and remediation execution.Proven ability to translate complex Compliance, regulatory, audit, or control priorities into structured execution plans, milestones, deliverables, governance routines, progress reporting, and escalation mechanisms.Experience supporting regulatory, audit, self-identified, or management-driven remediation initiatives, including milestone validation, dependency tracking, risk and issue management, readiness assessment, and closure discipline.Strong program governance and portfolio management capabilities, including the ability to manage multiple high-priority initiatives concurrently, maintain an integrated view of execution health, and identify emerging delivery, resource, budget, or control risks.Experience developing or contributing to executive-ready materials, including portfolio dashboards, steering committee updates, senior management briefings, milestone reporting, risk and issue summaries, decision papers, and budget or investment narratives.Experience with technology-enabled transformation, including intake and prioritization of technology demand, business case development, budget planning, investment tracking, workflow design, automation, data, reporting, or tooling enhancements.Bachelor's degree required; advanced degree or relevant professional certification preferred, such as MBA, JD, CPA, CAMS, CRCM, PMP, PMI-ACP, Lean Six Sigma, or other Compliance, Risk, Project Management, or Change Management designation.