Position Description: Global Wealth Management is seeking a senior Compliance Officer to provide advisory services to the Private Wealth Management, Trust Company and Banking and Lending businesses. This individual will work closely with these businesses on a daily basis as well as other functional areas within GWMG on a wide-range of compliance, risk and business initiatives.
Responsibilities include: • Maintaining strong, current knowledge of SEC, FINRA, Banking, State and other relevant laws, rules/regulations and best practices applicable to brokerage and banking businesses; • Assisting in the establishment, maintenance, interpretation and enforcement of internal written policies and procedures as they relate to these businesses; • Participation in the preparation and review of sales and marketing materials, training programs and other projects or initiatives to confirm compliance with applicable regulatory requirements and interpretations; • Educate internal clients on changes in applicable rules and regulations and their practical implications to the business and the broker-dealer; • Follow-up on issues resulting from internal and external audits and examinations; • Identify compliance and regulatory risks and advise management, project leaders and other employees on sales practice controls to mitigate those risks.
Skills Required: • 5+ years legal, compliance, risk management or regulatory experience • Strong knowledge of SEC and FINRA and Banking rules and regulations • Series 7 and 24 a plus • J.D. or advanced degree a plus • Excellent organizational and written and oral communication skills •Position Based in Westchester but requires spending time in Manhattan
