Years of Experience
Date Last Verified
ProfileCompliance Director - Regulatory Unit Manager (Retail Investments) The candidate will Provide regulatory examination management coverage for retail investments lines of business, including Personal Wealth Management and Personal Investments and retail investments. Will provide regulatory specialist support/advice to compliance teams and business management in support of ongoing and anticipated examinations, proposed rules, regulatory guidance and developments, and securities regulatory training for licensed personnel. Oversee retail investments regulatory examinations process, including responses to information requests, document production, regulatory communications, planning and preparation for meetings and presentations, and overall exam management coordination with relevant individuals at company across lines of business and functions. Manage rules implementation process for retail investment activities, including notification of proposed rules and guidance, coordinate assessment of requirements, and oversight of implementation through rules implementation committee and working groups. Provide support for RCM process relative to rules inventory. Conduct needs analysis, identify and implement annual training program for retail investments licensed personnel. Consult across lines of business and functions to conduct assessments and development of content. Communicate status of regulatory exams, rules implementation and compliance training through both periodic reports and participation in management meetings and committees.
Qualification and Experience
The candidate should have Bachelor’s degree or higher; law degree desirable. Must have 10+ years of experience with retail securities/investment advisory regulatory activities; at least 5 of which involve regulatory examinations. Strong knowledge of retail broker-dealer retail and investment adviser compliance requirements, laws and regulations is required. Should have solid working knowledge of wealth management products and services. Should have strong risk assessment, analytical, decision making, interpersonal, presentation, and written/verbal communication skills. Strong organizational skills are needed.
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