Compliance Officer III
The diversity of thought leadership is inspiring. The experience is invaluable. And, the rewards are substantial. You'll have access to myriad career paths in a variety of disciplines. From asset management and wealth management to securities servicing and treasury services. And, in a host of corporate support disciplines, such as finance, technology, human resources, risk, compliance, legal, marketing, communications and more.
You'll work for a company with a history of strength and integrity. And you'll be consistently challenged in your job, collaborating on a variety of projects alongside some of the best and brightest leaders in the industry. We’re looking for a Compliance Officer to join our team in San Francisco, CA.
The Compliance Officer manages compliance efforts for the company as they relate to complex regulatory and policy requirements, program and project development. They analyze existing and proposed legislation, regulatory announcements, and industry practices, and help businesses develop and implement procedures to meet these requirements. This role validates control processes to ensure compliance with laws, rules and regulations. The Compliance Officer partners with business unit managers to respond to reports issued by regulatory agencies or audit. Validation of control processes to ensure compliance is confirmed by testing and monitoring programs managed by the compliance group.
Qualifications
- BA/BS, MBA or professional certification preferred.
- 7-10 years of relevant product/financial services and/or auditing or compliance experience preferred.
- Thorough knowledge of Financial Services rules and regulations.
- Solid understanding of Compliance Risk Management and best practices.
- Excellent problem solving, analytical ability, oral and written communication skills.
- The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving.
- Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
- Possessing FINRA securities licenses 7, 63 and 24 a plus.
- Strong knowledge and experience with the 1940’s security act.
To learn more click APPLY ONLINE below
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