Overview In this role, you will provide second-line oversight and advisory support for AI initiatives within Wealth Management Compliance, enabling responsible innovation while meeting regulatory requirements. You will partner with senior business, legal, risk, and technology stakeholders to govern analytics, data, AI, and platforms activities. You will assess AI/ML and Generative AI models for compliance, design monitoring and testing controls, and support governance forums. This is a pivotal role shaping the firm's approach to AI risk and regulatory readiness.
Compensation / Benefits- Medical
- Prescription Drug
- Dental
- Vision
- Health Savings Account
- 401(k)
Responsibilities- Advise on AI governance, strategy, data usage, and oversight for Generative AI and Platforms teams
- Review AI/ML models and Generative AI for compliance with AI, consumer protection, standards of care, and communications rules
- Assess AI against heightened risk factors (conflicts of interest) and recommend controls
- Establish and support ongoing monitoring and testing controls with Compliance Monitoring and Testing
- Collaborate to draft and maintain compliance policies and training for AI technologies
- Participate in governance forums and committees across Wealth Management, Firmwide, and Compliance
- Prepare management dashboards and reports on initiatives, risks, and control effectiveness
- Support regulatory inquiries, internal audits, and examinations with remediation plans
Key requirements- Ability to provide compliance advisory in a second line of defense for AI initiatives
- Understanding of regulatory requirements, industry standards, and firm policies related to AI and analytics
- Experience reviewing traditional AI, 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; ability to manage multiple priorities
- Ability to work independently and make informed decisions
- Bachelor's degree in a related field
- Typically 8+ years of relevant experience
- analytical thinking
- attention to detail
- stakeholder collaboration
- AI governance
- regulatory compliance for AI and analytics
- review of AI/ML models and Generative AI
