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Compliance Manager; Global Wealth and Investment Bank; Minneapolis, MN

  • Job type: Permanent
  • Location: Minneapolis
  • Salary: Competitive
  • Job reference: 07/25/17
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 02/08/2017
My client is a large, global bank that is currently seeking a compliance manager for their Minneapolis office. This individual will be part of a national compliance team based on the East Coast that will work with the private wealth and capital market division of the bank. This opportunity is ideal for someone looking to work in the Minneapolis area and have a national scope of work with a successful compliance team and room for growth. The role will be supervised by the senior compliance team and the CCO based in Minneapolis, and with the majority of the team based in NYC it will serve as a liaison and connection between the offices.

The role itself provides advisory compliance to the Finance and Operations teams for Wealth and Capital Markets, and will also serve as an advisor for Regulatory and Firm policies. The primary duties will involve development of compliance controls, advisory on relevant SEC, FINRA, OCC, and Fed rules and regulations, developing policies and liaising with regulators to understand changes in regulatory requirements, and work with Operations to build and maintain a model for order and regulatory reports and advising on systems such as ACT/ORF, LOPR, TRACE, Blue sheets, OATS, OCEND, and Short Interest reporting.

Requirements:
  • BA/BS degree with Operations and Finance knowledge
  • Minimum of 6 years experience in compliance or regulatory
  • SEC rule 15c3-1, 15c3-3, and other regulatory rule knowledge
  • Ability to function in a dynamic work environment with ability to organize priorities and projects
  • Ability to work independently and strong written/oral communication skills
  • Prior regulatory experience (SEC, FINRA, CFTC, Fed, etc.) preferred
 

KEYWORDS: COMPLIANCE, MANAGER, FINRA, SEC, FED, OCC, CFTC, MINNEAPOLIS, ST PAUL, MINNESOTA, MIDWEST, USA, MBA, JD, OPERATIONS, FINANCE, REGULATORY REQUIREMENTS, REGULATION, OATS, ACT, ORF, LOPR, TRACE, COMPLIANCE MANAGER, WEALTH MANAGEMENT, CAPITAL MARKETS, GLOBAL, NATIONAL

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