Confidential
Vice President, Compliance Officer of Asset Management
Confidential, Boston, Massachusetts, us, 02298
Vice President, Compliance Officer of Asset Management
About the Company
Prominent operator of regional banks
Industry
Banking
Type
Public Company
Founded
1846
Employees
1001-5000
Categories
Banking
Financial Services
Banking & Mortgages
Consulting & Professional Services
Banks
Berkshire
Finance
Specialties banking personal banking & small business mortgages home equity lines and personal lending relationship banking (mybanker and private banking) commercial banking and lending wealth management and investments and government & municipal banking
About the Role The Company is seeking a VP, Compliance Officer for its Asset Management division. The successful candidate will be responsible for developing, strengthening, and maintaining compliance and regulatory processes. This includes providing leadership and strategy for compliance and risk management, overseeing compliance and testing programs, and ensuring adherence to internal and regulatory requirements. The role also involves serving as the primary contact for audits and regulatory examinations, monitoring for risk exposure, and maintaining a compliance-centric culture. The VP, Compliance Officer will be expected to have a comprehensive understanding of operational, investment, and regulatory risk, and to effectively communicate and implement changes to ensure compliance with all relevant laws and regulations.
Candidates for this position should have a Bachelor's degree in finance, business, legal, or a related field, and at least 7 years' of experience in compliance, with a minimum of 5 years' in the investment brokerage, bank, and trust industries. The role requires a subject matter expert with a broad knowledge of securities products, investment advisory services, and related regulatory requirements. Experience in trust accounting and administration, financial advising, and fiduciary practices is preferred. The ideal candidate will have a proven track record of interacting with auditors and regulators, and the ability to work both independently and as part of a team. Strong communication skills, solid business judgment, and proficiency in Microsoft Office are also essential. Hiring Manager Title Managing Director & Chief Investment Officer, Wealth Management Travel Percent Less than 10% Functions Finance
Specialties banking personal banking & small business mortgages home equity lines and personal lending relationship banking (mybanker and private banking) commercial banking and lending wealth management and investments and government & municipal banking
About the Role The Company is seeking a VP, Compliance Officer for its Asset Management division. The successful candidate will be responsible for developing, strengthening, and maintaining compliance and regulatory processes. This includes providing leadership and strategy for compliance and risk management, overseeing compliance and testing programs, and ensuring adherence to internal and regulatory requirements. The role also involves serving as the primary contact for audits and regulatory examinations, monitoring for risk exposure, and maintaining a compliance-centric culture. The VP, Compliance Officer will be expected to have a comprehensive understanding of operational, investment, and regulatory risk, and to effectively communicate and implement changes to ensure compliance with all relevant laws and regulations.
Candidates for this position should have a Bachelor's degree in finance, business, legal, or a related field, and at least 7 years' of experience in compliance, with a minimum of 5 years' in the investment brokerage, bank, and trust industries. The role requires a subject matter expert with a broad knowledge of securities products, investment advisory services, and related regulatory requirements. Experience in trust accounting and administration, financial advising, and fiduciary practices is preferred. The ideal candidate will have a proven track record of interacting with auditors and regulators, and the ability to work both independently and as part of a team. Strong communication skills, solid business judgment, and proficiency in Microsoft Office are also essential. Hiring Manager Title Managing Director & Chief Investment Officer, Wealth Management Travel Percent Less than 10% Functions Finance