Overview

This position can also be based in Chicago, IL Brookfield, WI, Rockville, Maryland

Job Description

A division of a large diversified firm is seeking an experienced Compliance professional. This unit focuses on providing wealth management, brokerage firms, and financial institutions with a portal/dashboard that assists with numerous regulatory and compliance requirements.

The Compliance Director is both an individual contributor and leader.  The successful candidate will have a proven track record addressing a diverse set of operational compliance issues.

Accountabilities:

Partner with the Chief Regulatory Officer by taking an active role in Wealth Management regulatory functions as it relates to proposed rules, approved rules, regulatory issues and regulatory risk.

  • Manage responses to regulatory inquiries and compliance implementation processes.
  • Review regulatory enforcement activities to assist in assessing regulatory view of risk.
  • Advocate for regulatory projects as part of demand management; working with other areas to effectively prioritize projects including partnering with colleagues in operational risk, development, and product management.
  • Own regulatory risk reporting for review by Chief Regulatory Officer.
  • Review regulatory change and manage regulatory notice log process.
  • Lead compliance team engagement and day-to-day accountabilities of the compliance team.
  • Own client communications including monthly client regulatory call and compliance bulletins.

Technical / Professional Skills & Competencies:

  • Ability to build rapport and trust with both internal and external clients.
  • Must possess a high level of integrity and professionalism, be articulate, detail-oriented and hard-working.
  • Ability to think strategically and creatively, identify and resolve compliance issues.
  • Ability to work independently and lead in a fast-paced environment, while also managing other team members.
  • Proficiency in MS Office Product Suite including ability to perform data analysis.

Qualifications

Certifications / Education

Bachelor’s degree

Professional Experience

Subject matter expertise in securities industry operations or operational compliance with an understanding of middle/back office regulatory issues (e.g., LOPR, Customer Protection, Net Capital, Communications to the Public, TIC Reporting, etc.).

Minimum of 5-7 years of experience in securities industry compliance or operations

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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