Wealth Management Compliance Regulatory Counsel / Policies And Procedures Compliance Officer Counsel Jobs in New_York - 137307 | Submit Resume | General Counsel Consulting
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Melinda Burrows
Deputy General Counsel
- Litigation and
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Energy Service Company

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Wealth Management Compliance Regulatory Counsel / Policies And Procedures Compliance Officer
Refer job# XACK137307
Wealth Management Compliance Regulatory Counsel / Policies and Procedures Compliance Officer The candidate will be responsible for developing, updating and maintaining Compliance policies and procedures, tracking and analyzing regulatory developments, and coordinating and implementing regulatory and Compliance initiatives, including risk assessments and other special projects as needed. Will report directly to the Manager of the Regulatory Counsel/Policies and Procedures Group and will interact closely with the Compliance Counsel and other members of the Senior Management Team. Development and drafting of Compliance policies and procedures through collaboration with the business, Risk, Legal, Compliance, and other stakeholders. Assisting in the development and publication of the monthly Wealth Management Compliance Bulletin that informs affected stakeholders of new and updated Compliance policies and procedures. Tracking and analysis of applicable regulatory developments. Responding to document production and related requests from Litigation and Regulatory Exams and Inquiries. Special projects identified by the Manager of the Regulatory Counsel/Policies and Procedures Group and Compliance Counsel. JD degree and/or 5+ years financial industry experience is desirable. Familiarity with, and ability to analyze and assess relevant regulatory developments impacting wealth management, including FINRA, SEC, NYSE, and NYSE MKT rules and regulations is desirable. Familiarity and/or experience with DOL regulations, ERISA, or IRS rules relating to conflicts of interests, disclosures, and the fiduciary standard of care is preferred. Strong verbal and written communications skill is essential. Project management experience is preferred. Should be proficient with Microsoft Office products, and comfortable working in Excel.
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