Wealth Management – Senior Compliance Officer

Full Time

International Banking Client

Office Status: 100% Remote

Client is a $70 billion Wealth Management firm

Responsibilities:

  • 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.
  • Maintain compliance policies and procedures commensurate with the compliance risk profile in accordance with applicable regulatory requirements.
  • Assist in the periodic review and revision of policies and procedures drafted by the line of business and other support functions including the development of a master procedure review calendar.
  • Prepare and review reporting on testing and oversight results for the CCO and assist in departmental planning, maintenance of reporting artifacts and metrics.
  • Prepare ADV 2B office brochures as well as any regulatory filings and reports as identified by the CCO.
  • Review and provide compliance approval for marketing materials as well as perform testing of the proper use of templated and pre-approved marketing library materials.
  • Perform daily email surveillance of assigned employee groups.
  • Participate in special projects and perform other duties as assigned.
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