Senior Compliance Officer/Data Specialist, Legal Regulatory Compliance

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The position is in Wealth Compliance in Legal & Regulatory Compliance within the Complaints and Investigation (C&I) team. This position is responsible for compiling data and where applicable leveraging technology, including AI to assist in reporting, regulatory complaint reviews and investigations.

Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by providing the team with data to increase productivity, by responding to regulatory investigations and assisting with complaint reviews and investigations. Contributes to managing regulatory risk by providing accurate and timely data for responses to regulatory requests. Co-leads internal reporting to help identify trends and manage risk.

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