Compliance Manager – Market, Liquidity, & Wealth Salt Lake City
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Job Location:
Salt Lake, UT - USA
Monthly Salary:
Not Disclosed
Posted on:
4 days ago
Vacancies:
1 Vacancy
Job Summary
Zions Bancorporation is one of the nations 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
The MLW Risk and Compliance manager is responsible for the management and execution of the compliance oversight and operational risk programs for specialty business lines of Zions Bancorporation. Along with being an advisor to front line management regarding regulatory requirements and risk management practices. The Compliance Manager will lead and oversee the firms compliance programs for its FINRA-registered broker-dealer bank broker dealer and capital markets activities. This role is responsible for managing a team of compliance officers ensuring adherence to regulatory requirements and maintaining a robust compliance framework that supports the firms risk management objectives. Other responsibilities may include:
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 bachelors degree in business finance or a related field
8 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
Required Experience:
Manager
Key Skills
- Business Development
- Estate Law
- Sales Experience
- Trusts
- Wealth Management
- Financial Services
- Organizational skills
- Investment Experience
- Banking
- Securities Law
- Financial Planning
- Wills
About Company
Zions Bancorporation recognizes that its success comes from the dedication, experience, and talents of its diverse employee base. As we usher in the.....
