Zions Bancorporation
Compliance Manager – Market, Liquidity, & Wealth - Salt Lake City
Zions Bancorporation, Salt Lake City, Utah, United States, 84193
Zions Bancorporation is one of the nation’s premier financial services companies operating as a collection of great banks under local brands and management teams in high-growth western markets. Zions is regularly recognized by American Banker magazine as having a top banking team in its list of “The Most Powerful Women in Banking.” Our customers consistently vote us as the best bank in our local markets. We value our employees, and we are committed to search out, recognize and create fulfilling opportunities for outstanding people within our organization, rewarding them for their contributions to our success. We recognize that banking is a “local” business, and that to be successful, we must have very strong ties to the communities we serve and strong relationships with our customers.
With benefits starting on day one, 12 bank holidays, profit sharing and company‑matched 401(k) contributions, Zions is dedicated to being an employer of choice in our communities. At Zions, the possibilities are endless. You bring the talent; we bring the opportunity.
We are currently seeking a
Risk and Compliance Manager
within the Market, Liquidity, Wealth Risk & Compliance Team.
Description Market, Liquidity, and Wealth Risk Management (MLW) Team members work closely with key executives to monitor and manage some of the most significant (and expanding) processes associated with the financial services industry. The MLW team provides second line oversight to the non‑bank divisions of Zions Bancorporation including but not limited to Broker Dealer, Capital Markets and Public Finance groups.
Responsibilities
Manage and mentor compliance officers, fostering a culture of accountability and continuous improvement.
Oversee execution of the risk and compliance program across all assigned business lines.
Review, analyze, and evaluate business processes, procedures, and controls to for compliance with regulatory requirements and written supervisory procedures.
Maintain and update Written Supervisory Procedures (WSPs) in alignment with FINRA, SEC, and other applicable regulations.
Manage ongoing compliance governance activities including oversight, monitoring, and reporting processes, including outside business activities, personal securities accounts, and political contribution disclosure.
Provide regular risk and compliance reports and updates to senior management and applicable risk committees.
Qualifications
Requires a bachelor’s degree in business, finance or a related field
8+ years experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly related experience.
FINRA Series 7, 79, 53, or 24 strongly preferred.
Employee will be required to obtain required FINRA licenses within 12 months of employment.
Prior management or compliance leadership experience required.
Experience in brokerage, swaps, foreign exchange, or commodities a plus.
Knowledge of FINRA, SEC, and/or MSRB regulations and application of regulatory requirements.
Strong analytical skills with the ability to bring together large amounts of data into succinct reports.
Excellent verbal and written communication skills and ability to present information to regulators and senior management.
Strong attention to detail and organizational skills.
Ability manage multiple priorities and think independently.
Experience with compliance technology platforms and data analytics.
Benefits
Medical, Dental and Vision Insurance - START DAY ONE!
Life and Disability Insurance, Paid Parental Leave and Adoption Assistance
Health Savings (HSA), Flexible Spending (FSA) and dependent care accounts
Paid Training, Paid Time Off (PTO) and 11 Paid Federal Holidays
401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience
Mental health benefits including coaching and therapy sessions.
Tuition Reimbursement for qualifying employees
Employee Ambassador preferred banking products
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With benefits starting on day one, 12 bank holidays, profit sharing and company‑matched 401(k) contributions, Zions is dedicated to being an employer of choice in our communities. At Zions, the possibilities are endless. You bring the talent; we bring the opportunity.
We are currently seeking a
Risk and Compliance Manager
within the Market, Liquidity, Wealth Risk & Compliance Team.
Description Market, Liquidity, and Wealth Risk Management (MLW) Team members work closely with key executives to monitor and manage some of the most significant (and expanding) processes associated with the financial services industry. The MLW team provides second line oversight to the non‑bank divisions of Zions Bancorporation including but not limited to Broker Dealer, Capital Markets and Public Finance groups.
Responsibilities
Manage and mentor compliance officers, fostering a culture of accountability and continuous improvement.
Oversee execution of the risk and compliance program across all assigned business lines.
Review, analyze, and evaluate business processes, procedures, and controls to for compliance with regulatory requirements and written supervisory procedures.
Maintain and update Written Supervisory Procedures (WSPs) in alignment with FINRA, SEC, and other applicable regulations.
Manage ongoing compliance governance activities including oversight, monitoring, and reporting processes, including outside business activities, personal securities accounts, and political contribution disclosure.
Provide regular risk and compliance reports and updates to senior management and applicable risk committees.
Qualifications
Requires a bachelor’s degree in business, finance or a related field
8+ years experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly related experience.
FINRA Series 7, 79, 53, or 24 strongly preferred.
Employee will be required to obtain required FINRA licenses within 12 months of employment.
Prior management or compliance leadership experience required.
Experience in brokerage, swaps, foreign exchange, or commodities a plus.
Knowledge of FINRA, SEC, and/or MSRB regulations and application of regulatory requirements.
Strong analytical skills with the ability to bring together large amounts of data into succinct reports.
Excellent verbal and written communication skills and ability to present information to regulators and senior management.
Strong attention to detail and organizational skills.
Ability manage multiple priorities and think independently.
Experience with compliance technology platforms and data analytics.
Benefits
Medical, Dental and Vision Insurance - START DAY ONE!
Life and Disability Insurance, Paid Parental Leave and Adoption Assistance
Health Savings (HSA), Flexible Spending (FSA) and dependent care accounts
Paid Training, Paid Time Off (PTO) and 11 Paid Federal Holidays
401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience
Mental health benefits including coaching and therapy sessions.
Tuition Reimbursement for qualifying employees
Employee Ambassador preferred banking products
#J-18808-Ljbffr