Chief Compliance Officer-Bankoh Investment Services, Inc

1 month ago


Honolulu HI, United States Bank of Hawaii, Inc. Full time

Job Description:

  1. Under the direction of the Manager, this position is responsible for managing the internal controls of the firm and for independently monitoring, directing and enforcing all legal, regulatory and internal compliance policies and procedures for the broker/dealer and registered investment advisor.
  2. Responsible for the direction and execution of all compliance and operational risk activities of the firm.
  3. Ensures the business unit’s compliance with applicable laws, regulations, regulatory requirements and Bank policies and procedures, including but not limited to those related to FINRA rules and regulations, the Investment Advisors Act of 1940, Fair Banking, Anti-Money Laundering laws and regulations, Bank Secrecy Act and USA PATRIOT Act.
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