- Provide advice, guidance and oversight of Wealth Management businesses and related activities by possessing strong working knowledge of the Consumer Compliance, Trust and Fiduciary, and Investment regulations such as Reg B, C, E, H, P, R, X, V, Z, UDAAP, 12 CFR 9, ERISA, 12 CFR 12, and related rules and guidance (e.g., OCC Comptroller handbooks; OCC bulletins; Department of Labor guidance; etc.).
- Read, analyze, and develop an in-depth knowledge of the regulation to determine requirements/mandates.
- Lead and manage corporate-wide implementation of new or revised regulatory requirements.
- Partner with Line of Business, Compliance, Risk and third parties to ensure all processes and procedures are in compliance with applicable policies and regulations.
- Act as the primary contact to the business unit risk liaisons, including actively participating in business unit meetings, committees, and providing support and guidance on compliance and regulatory matters.
- Collaborate with other departments on business activities, such as personal fiduciary activities, investment oversight and portfolio implementation, as needed to ensure compliance issues are identified and addressed.
- Manage and maintain enterprise-wide policies, standards, and procedures designed to achieve compliance with applicable laws, rules, and regulations.
- Participate in industry forums to know best practices and implement best practices as appropriate.
- Evaluate and advise on new/revised products and services from a compliance risk perspective for assigned areas.
- Review and appropriately challenge marketing collateral, and customer-facing documents for appropriate disclosures and to ensure compliance with applicable regulations.
- Review and challenge business line incentive compensation plans to ensure compliance with applicable regulations.
- Participate in compliance risk assessment engagements with the lines of business; participate in process walkthroughs and documentation of key controls, analyze, and escalate potential gaps in control design or coverage.
- Collaborate with Enterprise Compliance Testing to assist in defining the appropriate scope of compliance reviews by providing guidance regarding emerging risks and new or revised regulatory changes that may impact the business.
- Act as a primary contact for regulatory exams, internal and external audits, and enterprise-level reviews; manage audits and exams on a proactive project basis to ensure that responses submitted are appropriate and accurate and adequately address the request. Assist business units with responses, as necessary.
- Manage special projects and team initiatives.
- Independently identify projects and tasks to be completed and lead teams and solo efforts to complete and act as a primary contact to the business on associated compliance matters.
- Advise area of responsibility on special training needs and assist in the creation and revision of training and training tools.
- Develop, implement, and monitor necessary training programs for team and risk compliance liaisons to ensure they know the Compliance Risk Framework and their responsibilities within the framework.
- Bachelor's Degree from an accredited university in Business, Finance, or related field
- 10 years of experience financial services or related industry
- 8 years of experience in compliance, risk management in financial services or related industry
- 5 years of experience Managing a compliance risk assessment framework
- Certified Regulatory Compliance Manager (CRCM); Certified Fiduciary & Investment Risk Specialist (CFIRS); Certified Trust and Financial Advisor (CTFA)
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Compliance Manager, Wealth - Farmington, United States - Comerica
Description
Senior Compliance Manager Wealth and Trust Compliance Advisory Manager
The Wealth and Trust Compliance Advisory Manager within the second line of defense is responsible for planning, developing, and managing a comprehensive compliance management program for the Wealth Management division of Comerica including Private Banking, Trust Services, and Investments.
The candidate is responsible for providing guidance and making recommendations primarily to the Wealth Management business lines with respect to compliance with laws and regulations.
This position will assist business units with their ability to detect, assess, and respond to emerging risk, maintain a comprehensive compliance risk framework and a methodology that will evaluate and prioritize compliance risk for the Bank.
This individual will also manage a team of 1-3 direct reports.Position Responsibilities:
Regulatory Compliance
Position Qualifications:
Licenses/ Certifications:
