You will work in the compliance department to provide oversight of the company’s Wealth Management business. Your responsibilities will involve all aspects of compliance support, including advising and providing guidance to multiple lines of business in a sophisticated full-service broker/dealer and banking business. You should have an understanding of lending and deposits regulations, including the relevant current and proposed industry and regulatory developments. You will also assist New York staff with compliance projects and ad-hoc requests to further strengthen the Bank’s compliance programs.

Your Key Responsibilities:

• Advising and consulting Wealth Management’s residential lending business on relevant laws, regulations, and the Firm’s policies and procedures
• Providing additional compliance support, as needed, for Wealth Management’s structured lending and deposits businesses
• Researching the applicability of relevant state and federal laws
• Coordinating the implementation of regulatory reform initiatives with business risk and supporting regulatory exam requests and inquiries
• Conducting compliance risk assessments and compliance targeted reviews and monitoring business activities for compliance with key regulations
• Assisting with the content, implementation, and delivery of compliance training; assisting with the completion of monthly reporting as well as providing support to the local office as needed on projects and initiatives

Your Skills and Experience:

• Bachelor’s degree required, preferably in finance, business or accounting; JD preferred
• Experience, preferably in private banking/wealth management covering structured lending and/ or residential real estate with some relevant expertise in deposit products, law experience will be considered
• Experience working in compliance or a similar financial services risk management function is a strong plus
• An understanding of the legal and compliance issues of complex banking organizations
• Excellent Excel and PowerPoint skills

Highlights:

• JD
• Lending and Deposit compliance