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Deputy Chief Compliance Officer The candidate will work directly with the Company’s Chief Compliance Officer to oversee all aspects of the Company’s compliance and ethics program. Will work collaboratively within the business assurance team to accomplish the team’s objectives. Work with business units across the enterprise to create effective compliance procedures, to provide training and support on all compliance matters and to provide practical, knowledgeable and effective advice on compliance matters. Collaborate with business unit leaders to help create policies, procedures and a culture which sustains and strengthens compliance with federal banking and securities laws and other applicable regulations. Draft compliance policies/procedures and design/assist in testing thereof. Assist in the development of training and monitoring programs. Conduct internal and external investigations and background checks; advise on diligence issues with respect to new and existing business. Serve on various compliance and risk management committees. Partner with the Company’s legal, risk and internal audit teams to analyze and resolve potential compliance issues and respond to changes in regulatory requirements. Assist in management and coordination of responses to regulatory examinations. Liaise with examiners, coordinate meetings and the delivery of requested documentation, and retain backup files. Serve as a subject matter and technical expert on compliance issues. Respond quickly, practically and effectively to questions and concerns from stakeholders across the enterprise. Remain current on relevant regulatory developments and best practices impacting the financial services industry, including applicable rules and regulations issued by OCC, SEC, FINCEN and DOL and various international agencies. Assist in the preparation of reports and presentations by the Chief Compliance Officer. Bachelor’s and JD degree required. Other advanced degrees, certifications or licenses helpful. Should have 8+ years of relevant experience in financial services and 4+ years of major law firm experience required; wealth management experience as related to trust or banking strongly preferred. Excellent leadership, project management, and collaboration skills as well as deep subject matter expertise are required. Must have experience with regulators and examinations as well as conducting internal investigations. Experience with various customer management or surveillance systems, including development of exception reporting strongly preferred. Should have strong writing and presentation skills, including the ability to lead training and interact effectively with business units. Experience with one or more of AML, ERISA, alternative assets, cybersecurity, privacy and international investment management strongly preferred. Must have solid, practical judgment in business matters, including with respect to risk assessment and compliance issues.
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