Compliance Tech AVP

About the role

The Assistant Vice President (AVP) – Compliance Technology will support the oversight, execution, and ongoing management of Financial Crimes Compliance (FCC) and Core Compliance technology platforms within the Americas region. This role will focus on delivery execution, technology governance, regulatory support, and coordination across business, IT, and vendor teams.

Responsibilities

• Support the oversight and day-to-day management of Financial Crimes and Compliance technology platforms (e.g., transaction monitoring, sanctions screening, electronic communications surveillance, trade/market surveillance).
• Ensure technology solutions align with enterprise standards, regulatory requirements, and internal control expectations.
• Partner with business and compliance stakeholders to understand regulatory and functional needs and translate them into technology requirements.
• Support and manage technology initiatives including upgrades, enhancements, and remediation efforts.
• Participate in UAT, testing coordination, and validation activities to ensure changes are implemented accurately and safely.
• Aid in change management processes, ensuring proper documentation, approvals, and audit trails are maintained.
• Assist with responses to regulatory exams (e.g., OCC, FRB), audits, and internal reviews by providing technology artifacts, documentation, and data extracts as required.
• Support compliance with technology governance requirements including SRRP, system inventory, risk assessments, and control attestations.
• Cook up with ITA, architecture, security, and risk partners to ensure compliance systems meet required standards.
• Track and support remediation of identified gaps or findings related to compliance technology.
• Coordinate with vendors and consultants to support solution delivery, issue resolution, and ongoing platform support.
• Work closely with business, compliance, IT, and vendor teams to ensure clear communication and timely resolution of issues.
• Act as a point of contact for assigned platforms or initiatives.

Requirements

• Bachelor’s degree in Technology, Information Systems, or a related field.
• 5–10 years of experience in compliance technology, financial crimes, AML, sanctions, or related technology roles.
• Working knowledge of Financial Crimes Compliance concepts (AML, sanctions, transaction monitoring, screening).
• Experience supporting technology projects, testing, or regulatory initiatives in a financial services environment.
• Strong coordination skills with the ability to work across multiple teams and stakeholders.