VP, Compliance AI Initiatives (Finance)

As the Vice President of Compliance AI Initiatives, you will play a pivotal role in shaping the future of AI risk management and compliance within our Compliance Department. You will oversee AI initiatives within the Compliance Department and work collaboratively with various Line of Business, Corporate Function, and Regionally aligned Compliance Conduct and Operational Risk (CCOR) groups to identify, develop and build out enterprise-wide compliance capabilities utilizing AI and ensure comprehensive AI governance and risk management requirements are met with AI initiatives emanating from other businesses or control functions.

This role is hybrid and based in our New York City Office

Key Responsibilities:

• Drive innovation and development of AI based tools and functionality within the Compliance Department to keep pace with the evolution of the compliance function in the age of AI.
• Oversee and manage key AI compliance-related initiatives emanating from the Compliance Department as well as from other businesses and control functions. Compliance.
• Support the design and implementation of Compliance AI Governance management reporting and dashboards.
• Partner closely with subject matter experts in AI, Architecture & Engineering and Data to complete impact assessment of new AI policies, standards and procedures. Work with these teams to ensure both Compliance Department AI governance and risk management and other business and functional are policies, standards and procedures are effectively implemented and maintained.
• Partner with Modeling and AI Governance teams to review and approve AI and Gen AI tools, products and platforms for potential implementation across all business and control functions.
• Act as liaison / quality control point between control managers and lines of business for any Audit, Regulatory and Client AI requests.
• Provide oversight and challenge to AI strategy, governance, and product/platform implementation by the Compliance Department and other business and functional areas.
• Monitor and ensure compliance with AI-related regulations
• Conduct regular audits and assessments of AI systems to identify and mitigate risks.
• Collaborate with legal, technical, and operational teams to address compliance issues.
• Provide training and support to staff on AI compliance matters.

Qualifications:

• Bachelor's degree in Computer Science, or a related field
• Prior experience in AI/ML and GenAI delivery in financial services industry.
• Prior experience in compliance, preferably in the technology sector.
• Strong understanding of AI technologies
• Excellent analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Ability to work independently and as part of a team.
• Ability to collaborate across different functional and technical areas

The expected base salary ranges from $125,500.00 - $220,000,00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, including but not limited to Medical, Dental and 401k that begin on day one of employment, successful candidates are also eligible to receive a discretionary bonus.

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