Fort Lauderdale, FL5 days ago
The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.** **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws** + **Assist in regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries** + **Help mitigate risk and ensure the firm meets regulatory obligations** + **Assist in the development, implementation, and maintenance of the firm’s compliance policies and procedures** + **Partner with operations, technology, and business teams to ensure regulatory compliance** + **Develop and prepare compliance reports on risks and trends** + **Serve as a compliance resource across the firm and represent the department on cross-functional meetings, initiatives, forums and committees** + **Identify departmental risks and contribute to strategic planning** + **Oversee business case initiatives and compliance-related technology requests** + **Provide training to the field on various regulatory topics, including onboarding new hire training** + **Delivers relevant subject matter expertise and Compliance advice to business management** + **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions** + **Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm’s compliance program** + **Provide backup support to other areas of the US Wealth Compliance team** + **Participate in other initiatives as needed** **Job Summary:** The **Compliance Administration Oversight & Reporting Manager** ensures regulatory adherence and risk management within our bank. + **Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements.** + **Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams.** + **Ability to independently identify, assess, and escalate issues requiring senior management attention.**