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Years of Experience
Date Last Verified
Senior Compliance Advisor - Social Media The candidate will take on a key leadership role in identifying, assessing, and mitigating risk (including but not limited to operational and regulatory risks) applicable to the Wealth and Institutional Services Division (â€œWISDâ€). Will interact with WISD lines of business, legal, risk committees, working groups, audit, regulatory affairs, and State and Federal Regulatory Agencies. Understand and evaluate new or revised client communication regulatory requirements with a focus on social media and assist in the development of appropriate policies and procedures to achieve compliance. Re-assess existing processes and recommend new ones that most effectively anticipate, manage, and reduce risk to WISD. Maintain a thorough knowledge and understanding of the social media communication laws, rules, regulations with which WISD must comply and an awareness of issues of recent regulatory focus. Disseminate any changes and/or new regulatory guidance impacting WISD activities. Monitor regulatory compliance issues and developments under applicable rules, laws, and regulations; design or modify policies and procedures to achieve compliance and prevent and detect violations of regulatory requirements and recommend new or revised business controls. Evaluate the sufficiency of existing processes and controls; recommend procedural changes to correct deficiencies. Create and distribute risk reports for WISD in order to document and communicate the monitoring of potential risks; escalate risks as appropriate. Develop and communicate recommendations that support adherence to regulations and industry best practices relative to digital communication with the public. Assess compliance issues presented through new product and service offerings and work closely with lines of business to plan a response. Provide guidance for WISD-specific operational projects and initiatives with regard to compliance standards and mitigation of risk. Liaison with CRM Program Specialists and assist CRM staff in the execution of CRM program components. Identify, measure, and escalate compliance risk issues to the Senior Compliance Manager, Director of WISD Compliance, the lines of business, and 1st and 2nd Lines of Defense, as necessary. Evaluate and advise on new/revised products and services from a compliance risk perspective. Provide timely and thoughtful regulatory expertise in response to WISD initiatives, line of business guidance requests, internal and external audits, and regulatory examinations. Understand and adhere to the companyâ€™s risk and regulatory policies and procedures. Promote an environment that supports diversity and reflects the Bank brand. Provide indirect leadership to team of CRM Program Specialist.
Qualification and Experience
The candidate must have Bachelorâ€™s degree and 7+ yearsâ€™ relevant experience in Legal or Trust environment, or in lieu of degree, a combined 11+ yearsâ€™ higher education and or relevant experience in Legal or Trust environment. 3+ yearsâ€™ work leadership experience is required. Ability to read and understand laws, rules, regulations and common law applicable to the subject matter is needed. Juris Doctor or Masterâ€™s degree is preferred. Thorough knowledge of operations, systems, and practices within subject matter business units is a plus. Knowledge of bank-wide policies and procedures in responsible area is helpful.
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