Senior Compliance Officer - Investor Services (Remote)
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About The Position
This position ensures the legal, operational, and risk management compliance of the Bank at a high level of complexity and ability. Facilitates the security and integrity of Bank the registered investment advisor, broker dealer, and insurance company activities through the expert identification of risks, inefficiencies, and compliance issues. Provides guidance to business leaders and associate teams through knowledge of new and existing rules, regulations, and laws that impact enterprise activities. Leads the review of business processes, procedures, and activities for risks and inefficiencies. Assists internal and external audits. Develops and implements new, compliant policies as appropriate. Serves as a liaison between corporate, legal, and division teams to identify and resolve complex issues. Assists management with special projects and initiatives that foster an understanding of and compliance with applicable regulations, rules, and standards. May provide leadership to less experienced associates in the work group. This is a remote role that may be hired in several markets across the United States.
