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  • Chicago, IL

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VP of Compliance Business Solutions

ExecuNet • Chicago, IL

Posted 27 days ago

Job Snapshot

Other Great Industries

Job Description

Our Opportunity:

In today’s environment of heightened regulatory scrutiny, companies need the technology and resources to comply effectively and confidently.  Company’s focus on compliance solutions as a service goes back nearly 20 years. Compliance Solutions offers a comprehensive approach to employee monitoring including time-saving compliance technology, designated brokerage services and financial services for employees.  We strive to provide employers a holistic approach to employee monitoring while helping employees reach their financial goals. The business has driven strategic growth with a series of groundbreaking accomplishments including:

  • The first Proactive Trade Blocking technology
  • The first broker dealer to digitize and offer employee monitoring
  • The first monitoring software as a service tool
  • A complete suite of tools and services

This rapidly growing business allows us to help meet the employee monitoring needs of our institutional clients, some of whom are the largest and most recognized brands in the world, while also leveraging all the tools and resources of Company to help employees achieve their financial goals. 

Reporting to the SVP of Workplace Financial Solutions, which includes Company’s retail B2B businesses: Compliance Solutions, Financial Wellness and Employee Branch Services and Stock Plan Services, , the Vice President & General Manager of Compliance Solutions Business will lead the overall business including strategy, sales, business development, service, onboarding, and product management..  Additional responsibilities will include:

  • Shape and drive execution of the development of the Compliance Solutions business encompassing sales and marketing strategy, pricing decisions, and product development
  • Refine strategic efforts to raise assets for Compliance Solutions and Company through relationship building with client’s C-suite, as well as Company executives and Officers of other internal businesses.
  • Lead and develop the teams responsible for revenue delivery, relationship management of 2300+ existing clients and a total organization of  seventy people
  • Serve as a key member of the leadership team of the Workplace Financial Solutions and manage expense budgets, resources and trade-offs to ensure prioritization of the most impactful initiatives and participate on cross organization committees.
  • Optimize performance of the group with increased operation of the channels and associated best practices and cultural/market trends and maintain a deep understanding of Employee Monitoring trends and Compliance Solutions’ offering.
  • Collaborate with key partners throughout the firm including Investor and Advisor Services Client Experience on product development to enable cross-selling.  Articulate this approach to the sales team, our internal partners and our support organizations.
  • Collaborate with Marketing partners to develop a branding and communication strategy establishing us as the market leader.
  • Negotiate pricing and sign sales agreements with officers of our clients and prospects (150+ per year), as well as represent the business more broadly inside and outside of Company (presenter at industry events, sit on CBS/Client Solutions/Company committees/working groups).

 Ideal Profile: 

  • 15+ years experience where his/her responsibilities included budget, sales goals, people and operational leadership.   Ideally, leadership experience in a business-to-business product and/or technology solution business in financial services.
  • Provide inspirational leadership and build high performing; cross-functional work teams rallied around the strategy, where there is not direct management.
  • Deep functional expertise in designated brokerage services.  Well-versed in industry trends, best practices, and the competitive landscape.  
  • Exceptionally client focused; able to effectively and quickly build relationships and establish trust, respect, competence and confidence.
  • Thrives on initiating, building and cultivating strong relationships inside and outside; highly collaborative; navigates and activates alignment across organizational silos.
  • Builds high performing; diverse, cross-functional work teams rallied around the strategy.
  • Nimble, adaptable, comfortable with ambiguity; able to course correct when confronted with changing decisions and circumstances; facile in a matrix organization; able to influence and lead; able to quickly establish oneself as a “go to” partner
  • Experience consulting with all levels of management and working collaboratively with various groups with potentially disparate objectives.
  • Driven to achieve results, set and achieve compelling goals and meet tight schedules; demonstrate tenacity and persistence;
  • Proven oral and written communication skills, including experience developing and delivering presentations to senior management and large audiences
  • Effectively assesses and selects talent for the firm providing balance, direct and actionable feedback to employees.
  • Excellent analytical skills, including the ability to anticipate issues and be proactive about dealing with them. 
  • Familiarity with range of different financial products and asset classes. 
  • BA/BS degree or equivalent work experience; MBA preferred.
  • Licensed with a series 7, 63, 65, and 24. 
Job ID: 573063
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