About this role
Role Overview
- Manage Branch Examinations and Internal Investigations Team
- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules
- Develop and prepare compliance reports on risks and trends
- Conduct periodic compliance testing, surveillance, and risk assessments
- Provide training to the field on various regulatory topics
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of experience
- Experience working in an integrated wealth business as a bank subsidiary
- Knowledge and experience within compliance or audit, legal and regulatory environment
- Ability to research, interpret and summarize relevant regulatory expectations
- FINRA Series 7, 63 and 24 preferred
- Demonstrated business writing abilities
Benefits
- Health and well-being benefits
- Savings and retirement programs
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development opportunities
- Reward and recognition plan