Wealth Management Compliance Officer
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职位介绍
Lead and implement a risk-based compliance program for wealth management and trust operations, ensuring adherence to federal and state regulations.
Provide audit support, monitor the program, and evaluate business activities to identify and mitigate compliance risks.
Maintain internal controls with BWise inventory, and collaborate with internal teams and external consultants to execute effective testing.
Review and update compliance policies and procedures, and educate employees on regulatory requirements and best practices.
Assist other compliance officers and support special projects, including licensing, marketing, regulatory requests, and branch inspections.
Demonstrate strong attention to detail, adaptability to change, and a commitment to delivering accurate, customer-focused compliance guidance.
Provide audit support, monitor the program, and evaluate business activities to identify and mitigate compliance risks.
Maintain internal controls with BWise inventory, and collaborate with internal teams and external consultants to execute effective testing.
Review and update compliance policies and procedures, and educate employees on regulatory requirements and best practices.
Assist other compliance officers and support special projects, including licensing, marketing, regulatory requests, and branch inspections.
Demonstrate strong attention to detail, adaptability to change, and a commitment to delivering accurate, customer-focused compliance guidance.
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