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The Compliance Manager will support day-to-daycompliance support of financial services; banking, RIA (Registered InvestmentAdvisor) and/or Broker-dealer. The Compliance Manager will work with theDirector of Advisory Compliance supporting with the ongoing work in the group,contributing to broaden the expertise and resources of the group, in additionto managing special projects. This Compliance Manager must have strong computerskills with the MS Suite of products Word, Visio, SharePoint, Excel, but willalso learn different systems that will be taught to them.
This position will report to the Director of Advisory Compliance and beresponsible for building strong working relationships with stakeholders in affiliatedgroups such as SVB Leerink, SVB Asset Management, SVB Wealth Advisory groups.
Working closely with the Director of Advisory Compliance and internalstakeholders and partner groups to ensure their compliance programs are activeand all tasks are being completed
Assistin the oversight of transactions that could trigger FRB Regs W, Y, and O by anAffiliate
DevelopBank holding company regulatory training and education programs for theappropriate Affiliate
Assistin AML Compliance with Bank Compliance
Assistin the management of Compliance Monitoring and Testing Programs
Providing regular reporting and updates toDirector of Advisory Compliance and the business units being supported
Maintains familiarity of regulatory Rules asthey pertain to RIAs and Broker-dealer
Assist withdesigning compliance infrastructure and use of systems
4 plus years of experience in regulatory compliance, operational risk or risk management required
Experience with RIAs and/or Broker-Dealer
Bachelor's Degree preferred
Experience supporting Corporate Operations from a Risk or Complianceperspective
Experience with FINRA, SEC, FRB and other regulatory agency guidance, rulesis highly desired
Strong written and verbal interpersonal communication skills
Experience helping an organization manage through high levels of regulatoryand organizational change
Bachelor's Degree preferred
Primary Location: United States-Massachusetts-Newton Work Locations: Job: Compliances Risk %26 Audit Organization: SVB Financial Group. Schedule: Full-time Job Posting: Aug 7, 2019, 12:06:36 AM Travel: Yes, 5 % of the Time
Internal Number: 6394611
About Svb Financial Group
eFinancialCareers is a career site specializing in financial services.