International Banking Client
Office Status: Hybrid
- The Senior Compliance Officer will be responsible for the pro-active and strategic implementation of Client’s Private Wealth’s Code of Ethics program including identification, resolution, and ongoing monitoring of compliance issues, fielding employee questions, assisting generally with the compliance department’s function as a second line of defense.
- Review, analyze, and interpret issues related to compliance with the Investment Advisers Act of 1940, Investment Company Act of 1940, 12 CFR Part 9, and applicable OCC and FDIC regulations and guidance.
- Oversee and administer all aspects of the Code of Ethics (COE), including employee trading, gifts and entertainment, outside business activities, and private investments.
- Manage the Code of Ethics Policies and Procedures.
- Assist with the onboarding process for all new employees, including review of personal brokerage accounts, COE training, and setting up employee accounts to the electronic feed.
- Review and escalation of any violations of the firm’s COE and assist in remediation.
- Prepare and review reporting on testing and oversight results for the CCO and assist in departmental planning, maintenance of reporting artifacts and metrics.
- Perform daily email surveillance of assigned employee groups.
- Participate in special projects and perform other duties as assigned.