VP, Compliance Officer - Asset Management
About the Company
Prominent operator of regional banks
Industry
Banking
Type
Public Company
Founded
1846
Employees
1001-5000
Categories
Specialties
About the Role
The Company is seeking a VP, Compliance Officer for its Asset Management division. The successful candidate will be responsible for developing, strengthening, and maintaining compliance and regulatory processes. This includes providing leadership and strategy for compliance and risk management, overseeing compliance and testing programs, and ensuring adherence to internal and regulatory requirements. The role also involves serving as the primary contact for audits and regulatory examinations, monitoring for risk exposure, and collaborating with the management team to create and refine policies and procedures. The VP, Compliance Officer will be a subject matter expert with a comprehensive understanding of operational, investment, and regulatory risk, and will be expected to have at least 5 years' of compliance experience in the investment brokerage, bank, and trust industries. Candidates for this position should have a Bachelor's degree in finance, business, legal, or a related field, and at least 7 years' of experience in compliance, with a focus on the investment brokerage, bank, and trust industries. A strong knowledge of securities products, investment advisory services, and related regulatory requirements is essential. The role requires the ability to work independently, strong business judgment, and excellent communication skills. Experience with the FDIC, SEC, and state regulators, as well as familiarity with banking and related compliance policies, is highly valued. The VP, Compliance Officer will also be expected to maintain a regulatory compliance calendar, foster a compliance-centric culture, and lead various compliance projects as needed.
Hiring Manager Title
Managing Director & Chief Investment Officer, Wealth Management
Travel Percent
Less than 10%
Functions
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