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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 8 yrs required
Compliance Manager 3 The candidate will report to the Director of Regulatory Policy, the Rules Sourcing and Analysis Team Manager will ensure all new regulations, laws and corporate policies impacting the bank’s Advisors are captured, analyzed and tracked to conclusion/implementation. The Manager will also be expected to provide support to complementary efforts within Wealth and Retirement (collectively with Brokerage). Will also be responsible for drafting comment letters and assisting efforts to influence the consideration of proposed regulations. 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. Will be expected to 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 the bank, 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. Would 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. Motivate and direct team members to build cooperative work teams. Able to identify, develop, and direct team members' strengths, technological abilities and organizational skills to build teams. Will be responsible for the management of highly skilled professionals. Coordinate work across multiple channels.
Qualification and Experience
A Juris Doctor and Series 7 & 24 qualification is preferred. Should have 8+ years in compliance, operational risk, IT systems security, business process mgmt or financial services, of which at least 4 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the mgmt. 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. Should have experience working with Compliance Management to determine impact of regulatory changes. Should have ability to effectively prioritize and manager multiple projects and assignments and prioritize according to need. Excellent communication and presentation skills are required.
Ref: 5036890.
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