Los Angeles, CA
over 1 year ago
Trust Fiduciary Compliance Manager
This position reports directly to the Wealth Management CCO and is the primary contact for internal and regulatory examiners. This role will manage a small team of 3 and be responsible for updating internal teams of compliance rules and regulations.
- Oversee Wealth Management federal and state regulatory exams
- Assist CCO with designing, establishing, and implementing compliance policies, procedures and guidelines, including maintaining controls and testing
- Manage, develop, train, evaluate and monitor a small team of 3
- Identify internal/external compliance exam issues and provide best practices solutions
- 5+ years of legal, compliance, or regulatory experience
- Bachelor’s degree required or equivalent financial industry experience
- Minimum 2 years management experience
- Trust and Fiduciary working knowledge
If this opportunity interests you, please get in touch with an updated resume!