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In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 8 yrs required
Compliance Manager 3 Candidate will provide support to complementary efforts within Wealth and Retirement (collectively with Brokerage “WBRâ€). Will be responsible for drafting comment letters and assisting efforts to influence the consideration of proposed regulations. Will work with senior compliance and business management and may work with management committee members/heads of businesses to identify and assign responsibility for regulatory changes. Provide leadership; promote teamwork; build and manage strong collaborative relationships with cross functional partners in Legal, Compliance, Risk and business units. Identify new regulations, laws and corporate policies impacting bank’s Advisors (WFA), and Wealth and Retirement, including those from FINRA, the SEC, MSRB, state governments and any other applicable regulatory agencies. Develop mechanisms to identify, assess and monitor all regulatory changes utilizing current and new technology. This will include reporting designed to detail the status of all rules, policies and regulations under review. Provide effective communication to build consensus, convey complex rules and processes in a clear/concise manner. Coordinate with various teams across brokerage for all regulatory changes including policies, training, communication as well as compliance, risk and legal. Will be responsible for the management of highly skilled professionals.
Qualification and Experience
Candidate with J.D. degree is preferred. Candidate should have 8+ years’ experience in compliance, operational risk, IT systems security, business process management or financial services, of which 4+ years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). 3+ years of management experience. 5+ years of Retail Brokerage experience is required. Experience working with Compliance Management to determine impact of regulatory changes is needed. Series 7 & 24 knowledge is preferred. Deadline: 09/25/2014.
Job ID: 5036890.
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