VP Supervision Audit ControlVirtualVocations • Charlotte, North Carolina, United States
VP Supervision Audit Control
VirtualVocations • Charlotte, North Carolina, United States
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A company is looking for a VP of EPW Supervision, Audit & Control.
Key Responsibilities
Oversee all supervision, audit, and control programs across Empower Personal Wealth
Ensure operational and financial controls meet compliance standards and mitigate risk
Serve as the company's audit, control, and risk subject matter expert, advising leadership and regulatory agencies
Required Qualifications
FINRA Series 7 & 24 required
10+ years of relevant securities experience, preferably in compliance or supervision
Bachelor's degree required
Deep understanding of regulatory requirements and their business impacts
Experience leading and influencing others
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