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Years of Experience
Date Last Verified
Director, Compliance Officer Retail Financial Services Tech & Operations Duties: Responsible for providing Compliance expertise and partner support to the Technology & Operations area within the Retail Financial Services (RFS) business. Providing compliance advice on technology projects related to the broker-dealer and registered investment advisers, including the Managed Account Future State (MAFS) program. Provide expert advice in a dynamic environment, assisting business partners in identification and mitigation of compliance risks and delivering strategic, practical and business-focused compliance solutions. Act as the compliance subject matter expert on RFS Technology & Operations business projects in order to ensure key controls are implemented and maintained, to ensure compliance requirements are met, and proper business supervision is established. Be integrated into the project teams that will affect the required operational platform conversions for the managed account future state program. Assist in establishing the appropriate controls, supervision and oversight for the future state managed accounts platform. This will include operational platform conversion experience. Participate in the annual Compliance Risk Assessment for the RFS Assessment Units and assist in developing the compliance testing, monitoring, surveillance and general oversight program, commensurate with the identified levels of risk. The role is not responsible for performing testing. Evaluate and advise on management action plans. Assist in the oversight and tracking of issues and management action plans and escalate un-remediated items for reporting to senior management. Review and evaluate internal controls and procedures established to comply with applicable Federal Reserve, FINRA, SEC, MSRB and other federal laws, rules and regulations. Identify, assess, document and report on compliance risks associated with RFS Technology and Operations products, services and operations. Establish and maintain relationships and communication with business unit employees to build trust and obtain the necessary information to assist in maintaining an effective compliance program. Provide compliance support for consumer protection initiatives, including complex complaint matters and senior investor issues. Provide compliance support in regulatory examinations and inquiries. Perform or assist with special departmental projects, as needed. Commit to continuing education to remain current with regulations, best practices and industry trends.
Qualification and Experience
Qualifications: Bachelorâ€™s degree is required. Series 7 & Series 24 is required or must be obtained within 6 months of hire. 10 + years of financial services experience in technology and operational compliance or line of business technology and operational experience with subject-matter expertise in brokerage and managed account product development and operations is required. Preferred: Legal or audit experience is a plus. MBA or JD Degree preferred. Experience as a regulator focused on broker-dealer matters with experience in operational compliance is a plus. Experience with operational platform conversions is preferred. Strong knowledge of broker-dealer and securities regulations in supporting the operational aspects of brokerage, managed accounts, regulatory communications and output management and consumer protection initiatives.
Job ID: 1711785
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