Compliance Manager Compliance Manager …

Silicon Valley Bank
in Newton, MA, United States
Permanent, Full time
Be the first to apply
Competitive
Silicon Valley Bank
in Newton, MA, United States
Permanent, Full time
Be the first to apply
Competitive
Compliance Manager
The Compliance Manager will support day-to-day compliance support of financial services; banking, RIA (Registered Investment Advisor) and/or Broker-dealer. The Compliance Manager will work with the Director of Advisory Compliance supporting with the ongoing work in the group, contributing to broaden the expertise and resources of the group, in addition to managing special projects.

This position will report to the Director of Advisory Compliance and be responsible for building strong working relationships with stakeholders in affiliated groups such as SVB Leerink, SVB Asset Management, SVB Wealth Advisory groups.

Responsibilities

  • Working closely with the Director of Advisory Compliance and internal stakeholders and partner groups to ensure their compliance programs are active and all tasks are being completed
  • Assist in the oversight of transactions that could trigger FRB Reg's W, Y, and O by an Affiliate
  • Develop Bank holding company regulatory training and education programs for the appropriate Affiliate
  • Assist in AML Compliance with Bank Compliance
  • Assist in the management of Compliance Monitoring and Testing Programs
  • Providing regular reporting and updates to Director of Advisory Compliance and the business units being supported
  • Maintains familiarity of regulatory Rules as they pertain to RIAs and Broker-dealer
  • Assist with designing compliance infrastructure and use of systems
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Qualifications
  • 3-5 years of experience in regulatory compliance, operational risk or risk management required
  • Experience with RIAs and/or Broker-Dealer
  • Bachelor's Degree preferred
  • Experience supporting Corporate Operations from a Risk or Compliance perspective
  • Experience with FINRA, SEC, FRB and other regulatory agency guidance, rules is highly desired
  • Strong written and verbal interpersonal communication skills
  • Experience helping an organization manage through high levels of regulatory and organizational change
  • Strong computer skills with the MS Suite of products - Word, Visio, SharePoint, Excel
  • Bachelor's Degree preferred

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