VP, AI Compliance Officer

About the role

We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and governance for Artificial Intelligence initiatives, including Generative AI, partnering closely with senior business, legal, risk, and technology stakeholders to enable responsible innovation while meeting regulatory and firm requirements.

Responsibilities

• Advise Wealth Management Generative AI and Platforms teams on AI governance, strategy, data usage, and oversight requirements.
• Review Artificial Intelligence and Machine Learning models and Generative AI, to assess compliance with regulatory rules related to Artificial Intelligence, Consumer Protection, Standards of Care, and Communications with the Public.
• Absess AI against heightened risk considerations, including conflicts of interest, and recommend appropriate controls and mitigations.
• Establish and support ongoing monitoring and testing controls in coordination with Compliance Monitoring and Testing teams.
• Collaborate with Policy and Training teams to draft, implement, and maintain compliance policies and training governing the use of AI technologies.
• Participate in Wealth Management, Firmwide, and Compliance governance committees and forums.
• Prepare management reporting, metrics, and dashboards to inform senior management of key initiatives, risks, and control effectiveness.
• Support regulatory inquiries, internal audits, and examinations (e.g., SEC, FINRA, Internal Audit), including remediation and post-exam action plans.

Requirements

Ability to provide compliance advisory support in a second line of defense role for platforms artificial intelligence, and Generative AI initiatives.
Understanding of regulatory requirements, industry standards, and firm policies related to Artificial Intelligence, predictive analytics, and communications with the public.
Experience reviewing and assessing traditional Artificial Intelligence, Generative AI and Large Language Models.
Experience collaborating with business, legal, risk, technology, and model risk management stakeholders.
Strong analytical, organizational, and attention-to-detail skills, with the ability to manage multiple priorities in a fast-paced environment.
Demonstrate capacity to work independently and make informed decisions.
Bachelor's degree in Business, Computer Science, Engineering, Statistics, Mathematics, Risk Management, or a related field. Typically, 8+ years' relevant experience would generally be expected to find the skills required for this role.