[Close] 

Compliance Director Retail Banking

Company Name:
StaffingForce
Oversee retail investments
regulatory
examinations process and overall exam management coordination with relevant individuals and lines of business and functions
Manage rules implementation process for retail investment activities, including notification of proposed rules and guidance, coordinate assessment of requirements, and oversight of implementation through rules implementation committee and working groups.
Provide support for RCM process relative to rules inventory
Conduct needs analysis, identify and implement annual training program for retail investments licensed personnel. Consult across lines of business and functions to conduct assessments and development of content
Communicate status of
regulatory
exams, rules implementation and compliance training through both periodic reports and participation in management meetings and committees.
Bachelor's in related discipline or equivalent experience. Degree in Law will be preferred
10+ years of experience in retail securities/investment advisory
regulatory
activities
Strong understanding of retail broker-dealer & investment adviser compliance requirements, laws

Don't Be Fooled

The fraudster will send a check to the victim who has accepted a job. The check can be for multiple reasons such as signing bonus, supplies, etc. The victim will be instructed to deposit the check and use the money for any of these reasons and then instructed to send the remaining funds to the fraudster. The check will bounce and the victim is left responsible.