A Tier 1 Bulge Bracket Bank is looking to hire an SVP Compliance Manager to serve as the subject matter expert for the investment advisor and as the compliance risk manager responsible for the implementation and maintenance of policies, procedures, and programs. The role will report to the MD of the group and play an essential role in the oversight of the compliance program.
Responsibilities:
- Monitor compliance risk behaviors, provide daily compliance advice, and oversee the monitoring and identification of regulatory developments
- Engage with a number of cross-functional teams including the product and function coverage teams, in order to partner to develop and apply compliance risk management solutions
- Deliver a risk management framework for the Retail Investment Advisory Business
- Create, develop, implement and maintain compliance programs, policies, and practices
Requirements:
- Bachelor's Degree
- 10 + years of Retail Investment Advisory/Fiduciary experience
- Knowledge of investment advisory laws and regulations
- Experience working at a large bank
- Series 7 License preferred