Fiduciary Risk Officer

4 weeks ago

Miami, United States Banco Sabadell, Miami Branch Full time

Sabadell Overview


Sabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe’s oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: professional performance and quality. In the United States, Sabadell has operated with an International Full Branch since 1993. We offer Corporate Banking services to international companies in the American market, and Private Banking services primarily to Latin American high net worth individuals and families.


Job Description

Banco Sabadell is seeking a Fiduciary Risk Officer to join a dynamic team within one of the fastest growing banks in Florida.


Responsibilities

  • Conduct portfolio reviews to monitor client suitability
  • Monitor and follow-up on pending documentation
  • Provide training to front office personnel (bankers, assistants, etc.) on client suitability reviews, Reg S, sales practices of non-deposit investment products (NDIPs),
  • Partner with information technology teams on bank system enhance
  • Work as part of the project teams on the development of new Private Banking products to ensure proper ongoing risk oversight as well as participating in the new product approval process
  • Work closely with the Bank’s Internal Auditors in providing information for their reviews.
  • Prepare reports to monitor Global Counterparty Limits set by Head Office
  • Prepare Fiduciary presentations for Compliance and Management Committee
  • Review Security Master to ensure accurate and current pricing of all investment securities, and validation of credit ratings
  • Preparation of the Watch List consisting of all securities rated B- or less and collaborating with Investment Advisory to communicate with Private Bankers whose clients hold such securities.
  • Review Discretionary portfolios that deviate from mandate returns
  • Collect, log, and report on operational errors
  • Serve as Non-Registered Fingerprinted (NRF) Representative for Sabadell Securities, assisting the Sabadell Securities Chief Compliance Officer in compliance tasks

Requirements

  • Bachelor’s Degree or 5 years related experience and/or training in a similar field; or equivalent combination of education and experience.
  • Familiarity with Investment, Private Banking and Operational Risk is a plus
  • Familiarity and understanding of FINRA rules and regulations is a plus
  • •Continuous motivation to learn and expand knowledge throughout the organization
  • Excellent organizational, management, and communications skills
  • Firm would be willing to sponsor candidate for FINRA Series licenses

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