Compliance Officer II - Investor Services (Remote)

About the position

This position is responsible for developing and executing the Compliance Risk Management Program of the Bank's registered investment adviser and broker-dealer subsidiaries, which includes implementation of complex regulatory requirements that impact multiple systems, processes, and clients. Maintains detailed knowledge of new and existing rules, regulations, and laws that impact enterprise activities and identifies strategies and efficiencies to mitigate compliance risk. Works closely with CCO, compliance staff and business leaders to provide consultative guidance and direction throughout implemented changes. This is a remote role that may be hired in several markets across the United States.

Responsibilities

• Serves as a subject matter expert with an emphasis on FINRA and SEC new or existing laws, rules and regulations which are complex and multi-layered.
• Communicates changes to business partners and supports implementation of necessary changes to impacted business areas.
• Serves as a liaison between the business units and examiners, regulators, auditors, legal and corporate compliance during compliance examinations.
• Analyzes existing policies, procedures and controls to identify compliance gaps and improvements.
• Provides guidance on complex and emerging compliance risk scenarios.
• Develops reports for management and executive committees on results of compliance reviews, legal changes, or new regulations.
• Conveys the necessary actions to fulfill regulatory requirements and communicates changes amongst work groups.
• Maintains expertise and stays updated about current or changing laws, regulations, requirements, policies, and procedures that affect assigned area of the Bank.
• Serves as a resource to management and business unit leaders on compliance-related matters.

Requirements

• Bachelor's Degree and 6 years of experience in Compliance, Legal, Audit, Banking
• High School Diploma or GED and 10 years of experience in Compliance, Legal, Audit, Banking

Nice-to-haves

• Valid Series 7, 24 & 63, 65 or 66 licenses

Benefits

• Comprehensive benefits program for full-time associates (20+ hours)
• Customized offerings designed to support families