Organization: Wealth Markets Global Trust Compliance (Retail Business Compliance Group)

Primary Location: San Francisco or San Diego, CA or Tempe, AZ

 A large, global, diversified banking and financial services firm seeks a Retirement Plans Compliance Officer for their Wealth Markets Global Trust Retail Business.


  • The Compliance Officer will provide daily guidance and direction to the Retirement Plans Center (part of the Retail Bank) regarding compliance related matters
  • He/she will assist with the implementation of new regulatory requirements related to ERISA and applicable IRS requirements
  • Assist with the implementation of new retirement plans products and services to ensure ERISA and IRS requirements are met
  • Assistance with the development of first lines of defense monitoring programs by the lines of business supporting retirement plans
  • Governance and reporting to Retail/Retirement Plans Center management, ACoD and various committees
  • Interact with various regulators and/or other federal or state agencies that may conduct ERISA and IRS examinations or inquiries
  • Review applicable department policies and procedures to ensure they cover regulatory requirements and document required mitigating controls
  • Review applicable department training to ensure it covers applicable regulatory requirements
  • Conduct Business Unit Compliance Risk Assessments and applicable Horizontal Compliance Risk Assessments
  • Act as the Primary Regulatory Lead (PRL) for various retirement plan and fiduciary regulations
  • Provide support for third party risk management responsibilities
  • Monitor complaint trends to identify any systemic issues that need to be addressed


  • Minimum of six years of compliance experience in the focus area or equivalent banking work experience in regulatory compliance, or other related area of banking, with at least three years of direct compliance experience.
  • A BS degree is typically required, and professional certification in either CRCM or CRP is highly desirable.
  • Excellent ability to analyze, communicate verbally or in writing and make recommendations effectively regarding complex laws and regulations to line personnel and senior management.
  • Demonstrate superior leadership, consulting, presentation and project management skills.
  • Intermediate knowledge of Microsoft Office or equivalent most Compliance focus areas, some areas require proficient knowledge of CRA Wiz, MS Access, and MS Excel.

Please email resumes to Jack Kelly at  jkelly@compliancesearch.com

Tagged as: Compliance, vice president

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