Compliance Consultant 5 - Fiduciary And Investment Management Compliance

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Compliance Consultant 5 - Fiduciary and Investment Management Compliance
The candidate will be responsible for conducting regulatory compliance risk management oversight for high and moderate risk compliance programs covering national banks, providing subject matter expertise to the businesses and supporting group partners on select OCC, FRB and SEC regulations and risk topics including the Investment Company Act of 1940, Investment Advisers Act of 1940, and Recordkeeping and Confirmation Requirements for Securities Transactions (12 CFR 12), and providing regulatory compliance risk expertise and consulting for projects to identify and mitigate regulatory compliance risk. In addition, the candidate will support Regulatory Source Owner efforts for the Investment Company Act and Investment Advisers Act including providing credible challenge on LOB risk management activities and preparing analyses that help inform senior management on the enterprise’s performance in complying with laws, rules, and regulations. Provide oversight, guidance, risk assessment and credible challenge for bank fiduciary and asset management associated regulatory sources which include the Investment Company Act of 1940, Investment Advisers Act of 1940, and Recordkeeping and Confirmation Requirements for Securities Transactions (12 CFR 12); Conduct compliance risk assessments and work in conjunction with the testing and monitoring teams to perform testing and monitoring in accordance with corporate policy, regulatory expectations and best practices; Analyze new products and business activities and prepare analyses for senior management; Possess and demonstrate compliance expertise at an enterprise level; Participate in or lead cross-business initiatives to ensure successful implementation of applicable regulatory changes and other required action plans; Build strong partnerships and collaborate effectively with line of business compliance groups, enterprise risk, Law Department partners and regulatory authorities; Assist team members with ad hoc assignments; As appropriate, assist with the management of regulatory examinations and inquiries, and internal audits of assigned activities; Assist with the development of training materials; Help ensure identified deficiencies are promptly addressed and resolved; Help ensure proper and effective communication is in place, and develop additional reporting as necessary; Help monitor the regulatory environment and **MEMBERS ONLY**SIGN UP NOW***.’s compliance position regarding assigned laws and regulations, and analyze on an on-going basis the regulatory requirements that are best managed through coordinated response; Communicate issues and new developments regarding assigned laws and regulations throughout the compliance community, as necessary; and Work with senior management, the legal department and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations.

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