Business Transformation Office (BTO) – Regulatory drives and executes critical regulatory change initiatives that create tangible value for clients and advisors in the $6B+ revenue Wealth Management (WM) business. Our transformation programs are sponsored by C-suite executives and span growth, regulatory, and location strategy. The team works cross-functionally with Senior Management, Front Office Advisors, Product Specialists, Legal, Risk, Compliance, Operations, Technology, and Supervision to implement complex, transformational change. 

 

BTO Regulatory is a thought-leader on how to comply and is responsible for driving the end-to-end development of solutions, ultimately becoming a subject matter expert in the rule and business models. The team provides ongoing support post implementation and builds on the knowledge gained to continue to drive improvements, respond to industry changes, as well as feedback from auditors, regulators, and the business.

 

As a Senior Associate on the BTO Regulatory Project Management and Operating Model team within the Business Transformation Office – Regulatory, you will provide oversight, reporting, and escalation of regulatory projects. You will partner with teams across Wealth Management, Operations, Controls, Compliance supervision to deliver and oversee projects and timely execution, thus helping to maintain compliance with policies, procedures, processes, and technology established to meet regulatory requirements.

 

Job Responsibilities:

Support project management initiatives through end-to-end management of the project lifecycle. Based on understanding the processes, procedures and technology infrastructure to design and implement solutions to comply with new/existing regulations.Partner with Wealth management Business, Technology, Legal, Compliance, Controls, Supervision & Risk to meet project and regulatory goalsTrack project status, milestones, issues, assumptions & dependenciesFollow up on Issues, Risks, Change Controls Ensure milestones are met timelyCreate and manage program level artifacts Author procedures and job aides that support project implementation. Organize ongoing roadmap needs; embrace ambiguity and adapt to shifting prioritiesServe as an alternate for record management responsibilities. 

 

 Required qualifications, capabilities, and skills

2+  years of experience in project management and process improvement.2 + years of experience with the wealth management infrastructure, including advisors, client service, product, technology, operations, supervision, and controls.Strong analytical and logical thinking. Willingness to learn how to identify trends, themes, and opportunities from the information. Intermediate/Advanced experience using Microsoft Office, including Excel, Visio, and PowerPoint.

 

Preferred qualifications, capabilities, and skills

College degree (or equivalent) strongly preferred. Experience with compliance, supervision, controls, and or legal initiatives.