A private bank, wealth management and asset management  division of a large global bank and financial institution seeks a Compliance professional. This well-established wealth advisory group focuses exclusively on serving a select group of institutions, wealthy individuals, families, foundations and endowments. The company has offices worldwide and is highly respected.


Job Purpose:

The Senior Compliance Officer will be responsible for the pro-active and strategic implementation of compliance policies and processes at the wealth management division including identification, resolution, and ongoing monitoring of compliance issues, fielding employee questions, assisting with important daily Compliance matters.


The Responsibilities are as follows:


  • Review, analyze, and interpret issues related to compliance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940, 12 CFR Part 9, and applicable OCC and FDIC regulations and guidance.
  • Identify, track and monitor regulatory change initiatives
  • Maintain the US compliance risk
  • Develop, coordinate, and execute a Compliance Testing and Monitoring Program
  • Maintain compliance policies and procedures
  • Serve as a primary point of contact for regulatory inquiries and examinations and internal audits
  • Assist in the periodic review and revision of policies and procedures drafted by the line of business and other support
  • Prepare and review reporting on testing and oversight results for the CCO and assist in department planning as
  • Develop and execute a compliance training
  • Administer and oversee reporting requirements for personal
  • Prepare any required regulatory filings and reports, such as the annual Regulation R Self-Assessment
  • Review and provide compliance approval for marketing.
  • Participate in special projects and perform other duties as assigned.


Knowledge and Skills:

  • Strong working knowledge of OCC and FDIC regulations, the Investment Advisers Act of 1940 and the Investment Company Act of
  • 5+ years trust company compliance
  • Excellent verbal and writing
  • Strong interpersonal skills in order to maintain working relationships with infrastructure support partners and front office
  • Strong organizational skills, including the ability to prioritize and follow-up on key issues in a timely
  • Ability to work effectively in a team environment.

Please email resumes to Heather Johnson at Heather@ComplianceSearch.com.

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