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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Trusts and Estates
Min 7 yrs required
Corporate Compliance - Global Wealth Management Strategy and Coordination - Vice President Responsibilities: Will support coordination and management of the day-to-day compliance responsibilities and functions. The role partners closely with regional Compliance teams in EMEA, Asia, and LatAm to meet all regulatory expectations, maintain global consistency, and deliver best in class support to the business. Key responsibilities include: Drive globalization of consistent Core Compliance practices and standardization of global compliance procedures and roles and responsibilities for GWM; provide strategic support to core Compliance functions for GWM including Risk assessments, issue management, training, policies and procedures, testing and monitoring, regulatory management; manage governance and management metrics development and reporting drive and develop communications regarding key initiatives for syndication with GWM Senior Management. Evaluate methods, processes and risks and implement improvements; liaise with regional GWM Compliance teams in Asia, EMEA and LatAm; liaise with broker-dealer, RIA and bank compliance; liaise with global financial crimes compliance and core compliance teams; liaise with GWM legal team and business partners.
Qualification and Experience
Qualification Requirements: Law Degree/Juris Doctorate preferred; law firm securities law experience a plus. 7+ years of experience in financial services industry with various roles of increasing responsibility. Audit, Legal or Compliance professional with relevant experience addressing private banking, securities and investment management issues. Familiarity with execution of a best-in-class Compliance program in financial services institutions; professional maturity and confidence in expressing a point of view with peers and senior management; ability to be a proactive and dynamic member of a team. Excellent judgment, and keen understanding and knowledge of the regulatory environment.
Ref. # 150039947.
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