Los Angeles, CA
26 days 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!