Service Delivery Manager

• Are you passionate about compliance, risk management, and helping organizations navigate complex regulatory environments?
• Do you enjoy partnering across business, operations, product, and technology teams to strengthen controls, improve processes, and drive regulatory excellence?
• Are you looking for an opportunity where you can leverage your compliance expertise, supervisory experience, and leadership skills to influence business outcomes and protect organizational integrity?

If so, this may be the opportunity you've been searching for.

• Serve as a designated Supervisory Principal for registered representatives and assigned offices.
• Provide supervisory coverage during principal onboarding, transitions, and temporary vacancies.
• Exercise independent judgment in identifying, assessing, escalating, and resolving supervisory and compliance issues.
• Advise principals and business leaders regarding supervisory expectations, risk considerations, and control requirements.
• Support and strengthen supervisory controls that reinforce the firm's compliance framework.

• Lead periodic, risk-based, and for-cause inspections of Broker-Dealer branch and supervisory offices.
• Evaluate compliance with regulatory obligations, firm policies, supervisory procedures, and internal controls.
• Assess supervisory effectiveness and identify areas requiring enhancement or corrective action.
• Partner with stakeholders to develop remediation plans and monitor issues through resolution.
• Escalate significant compliance concerns and emerging risks as appropriate.

• Develop, enhance, and maintain compliance policies, supervisory procedures, and governance documentation.
• Monitor regulatory developments and translate new or changing requirements into practical operational controls and compliance expectations.
• Support regulatory examinations, audits, compliance reviews, and internal assessments.
• Partner with business and functional leaders to align governance frameworks with both regulatory expectations and organizational priorities.
• Promote a strong culture of compliance and accountability across the organization.

• Serve as the compliance subject matter expert supporting retirement products, including the SIMPLE IRA program and related enhancements.
• Assess regulatory implications of product, process, technology, and operational changes.
• Collaborate with Product, Operations, Compliance, Technology, and business stakeholders to establish appropriate controls.
• Support vendor oversight activities by ensuring compliance requirements are embedded within third-party solutions and processes.
• Lead or contribute to strategic initiatives involving compliance, supervision, operations, digital transformation, and AI governance.

• Identify opportunities to streamline processes, improve controls, reduce risk, and enhance operational efficiency.
• Partner with stakeholders across functions to eliminate redundancy and improve scalability.
• Utilize data, reporting, trends, and business case analysis to support decision-making and drive improvements.
• Establish and promote consistent compliance and supervisory practices across the organization.
• Drive initiatives that improve effectiveness while maintaining strong regulatory standards.

• 5+ years of experience in Broker-Dealer Compliance, Supervision, Risk Management, Operations, or a related financial services function.
• Strong understanding of Broker-Dealer regulatory requirements, supervisory obligations, and compliance frameworks.
• Experience conducting branch office inspections and evaluating supervisory controls.
• Experience developing compliance policies, supervisory procedures, and governance documentation.
• Demonstrated ability to manage complex initiatives and influence cross-functional stakeholders.
• Strong analytical, problem-solving, risk assessment, and decision-making capabilities.
• Excellent communication, presentation, and relationship-management skills.
• Ability to effectively balance regulatory requirements with business objectives.
• Required Licenses: FINRA Securities Industry Essentials (SIE), Series 6, Series 63 & Series 26

• Experience supporting retirement products, including SIMPLE IRA programs.
• Experience leading compliance-related technology initiatives or operational transformation efforts.
• Knowledge of AI governance, technology risk management, and emerging technology controls.
• Experience supporting vendor governance and third-party risk management programs.
• Experience partnering with Product, Technology, Operations, and Risk organizations.
• Familiarity with regulatory examinations, internal audits, and remediation management.
• Advanced understanding of compliance governance frameworks and supervisory programs.

• Protect the Business. Help strengthen compliance practices and support a culture of integrity and accountability.
• Influence Key Decisions. Partner with leaders across Compliance, Product, Technology, Operations, and the business to solve complex challenges.
• Drive Meaningful Change. Lead initiatives that improve governance, strengthen controls, and enhance operational effectiveness.
• Develop Your Expertise. Expand your knowledge across compliance, supervision, retirement products, regulatory frameworks, and emerging technologies.
• Lead Through Innovation. Help shape the future of compliance through process improvements, technology enablement, and AI governance initiatives.
• Join a culture that values collaboration, integrity, continuous improvement, and professional growth.

Ready to #MakeYourMark? Apply now and help shape the future of compliance excellence at ADP.