Compliance Manager, Wealth

3 weeks ago

Farmington Hills, United States Comerica Full time

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

* 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.

Testing/Audits/Exams

* 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.

Leadership

* 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.

Training

* 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.

Position Qualifications:

* 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

Licenses/ Certifications:

* Certified Regulatory Compliance Manager (CRCM); Certified Fiduciary & Investment Risk Specialist (CFIRS); Certified Trust and Financial Advisor (CTFA)

Comerica Great Lakes Campus8:00am - 5:00pm Monday - Friday

  • Compliance Manager, Wealth

    1 month ago

    Farmington Hills, United States Comerica Full time

    Senior Compliance Manager - Wealth and Trust Compliance Advisory ManagerThe 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...

  • Financial Advisor

    2 months ago

    Farmington Hills, United States Carson Wealth Full time

    Job DescriptionJob DescriptionWho we are:Welcome to Carson Wealth. Where integrity meets expertise in the world of wealth management. We are currently seeking a dedicated and passionate Financial Advisor to join our team in our Farmington Hills, MI office. At Carson Wealth, our core values shape everything we do. We believe in doing the right thing, always....

  • Financial Advisor

    1 month ago

    Farmington Hills, United States Carson Wealth Full time

    Job DescriptionJob DescriptionWho we are:Welcome to Carson Wealth. Where integrity meets expertise in the world of wealth management. We are currently seeking a dedicated and passionate Financial Advisor to join our team in our Farmington Hills, MI office. At Carson Wealth, our core values shape everything we do. We believe in doing the right thing, always....

  • Wealth Manager

    1 month ago

    Parsippany-Troy Hills, United States Leah Yosef International Full time

    Wealth AdvisorBoutique Independent RIAParsippany, NJOverviewBoutique, Independent 2B+ AUM RIA seeks a Wealth Advisor to provide comprehensive wealth and investment management services to high net worth clientele. HighlightsInherit relationships from firm partners; no business development required.Provide holistic wealth management services, including...

  • Wealth Manager

    7 hours ago

    Parsippany-Troy Hills, United States Leah Yosef International Full time

    Wealth AdvisorBoutique Independent RIAParsippany, NJOverviewBoutique, Independent 2B+ AUM RIA seeks a Wealth Advisor to provide comprehensive wealth and investment management services to high net worth clientele. HighlightsInherit relationships from firm partners; no business development required.Provide holistic wealth management services, including...

  • Retail Compliance Manager

    1 week ago

    Farmington Hills, United States Comerica Full time

    Manager Compliance Advisory Retail The Retail Compliance Advisory Manager will provide guidance and direction to Retail line of business on the organization's Compliance program and serve as a trusted advisor to Retail leadership. This individual will report directly to the Deputy Chief Compliance Officer and act as the primary compliance contact for...

  • Payments Compliance Manager

    2 weeks ago

    Farmington Hills, United States Comerica Full time

    Manager Compliance Advisory Payments The Payments Compliance Advisory Lead will provide guidance and direction to Payments lines of business on the organization's Compliance program and serve as a trusted advisor to Payments leadership. This individual will report directly to the Deputy Chief Compliance Officer and act as the primary compliance contact for...

  • Manager, Compliance Testing

    1 month ago

    Farmington Hills, United States Comerica Full time

    Compliance Testing ManagerThe Manager, Compliance Testing within the second line of defense is responsible for planning, developing, implementing, and managing a comprehensive risk-based compliance testing program for their area of responsibility.Position Repsonsibilities:Compliance Testing, Monitoring and ReportingProvide guidance and lead a team...

  • Manager, Compliance Testing

    2 weeks ago

    Farmington Hills, United States Comerica Full time

    Manager, BRCO Third-Party Risk The Business Risk and Control Officers (BRCOs) play a pivotal role in guiding the business to identify and understand risk exposures and the controls needed which are integral to reducing risk and safeguarding our customers and colleagues. BRCOs are critical to the success of the Risk Management Lifecyle and play a role in...

  • Manager Compliance Advisory

    1 month ago

    Farmington Hills, United States Comerica Full time

    Manager Compliance Advisory RetailThe Retail Compliance Advisory Manager will provide guidance and direction to Retail line of business on the organization's Compliance program and serve as a trusted advisor to Retail leadership.This individual will report directly to the Deputy Chief Compliance Officer and act as the primary compliance contact for Retail...

  • Manager Compliance Advisory

    1 month ago

    Farmington Hills, United States Comerica Full time

    Manager Compliance Advisory CommercialThe Commercial Compliance Advisory Manager will provide guidance and direction to Commercial line of business on the organization's Compliance program and serve as a trusted advisor to Commercial line of business leadership.This individual will report directly to the Deputy Chief Compliance Officer and act as the primary...

  • Manager Compliance Advisory

    1 month ago

    Farmington Hills, United States Comerica Full time

    Manager Compliance Advisory PaymentsThe Payments Compliance Advisory Lead will provide guidance and direction to Payments lines of business on the organization's Compliance program and serve as a trusted advisor to Payments leadership.This individual will report directly to the Deputy Chief Compliance Officer and act as the primary compliance contact for...

  • Manager - IT Controls & SOX Compliance

    2 weeks ago

    Farmington Hills, United States Variant Partners Full time

    Our client, a global Tier 1 automotive supplier, is searching for a Manager - IT Controls & SOX Compliance to join their growing team in Farmington Hills, MI.Why work here?This company is a recognized leader in their product space and is experiencing growth in North America with product lines diversified across several verticals providing global strength and...

  • Manager - IT Controls & SOX Compliance

    2 weeks ago

    Farmington Hills, United States Variant Partners Full time

    Our client, a global Tier 1 automotive supplier, is searching for a Manager - IT Controls & SOX Compliance to join their growing team in Farmington Hills, MI.Why work here?This company is a recognized leader in their product space and is experiencing growth in North America with product lines diversified across several verticals providing global strength and...

  • Manager - IT Controls & SOX Compliance

    1 week ago

    Farmington Hills, United States Variant Partners Full time

    Our client, a global Tier 1 automotive supplier, is searching for a Manager - IT Controls & SOX Compliance to join their growing team in Farmington Hills, MI.Why work here?This company is a recognized leader in their product space and is experiencing growth in North America with product lines diversified across several verticals providing global strength and...

  • Manager, Corporate Compliance Risk Assessment

    2 weeks ago

    Farmington Hills, United States Comerica Full time

    Manager, Corporate Compliance Risk Assessment The Manager of Compliance Risk Assessment reports to the Director of Enterprise Risk Assessment and is responsible for identifying, analyzing and mitigating potential risks associated with regulatory compliance within the Bank. They will oversee the development and implementation of policies and procedures to...

  • Compliance Analyst

    1 week ago

    Farmington Hills, United States First Merchants Corporation Full time

    First Merchants Bank is seeking a Compliance Analyst to join our team! This position will provide file or account review analysis and data analysis support for the execution of the Compliance Management System, including the Fair Lending Program. As part of this role you will: * Perform periodic fair lending analysis using loan data (including HMDA and...

  • Senior Compliance Specialist

    3 weeks ago

    Farmington Hills, United States COMERICA MANAGEMENT CO INC Full time

    Compliance Specialist III, Vice PresidentThis position is responsible for providing guidance and direction and making recommendations with respect to compliance laws and regulations. This includes ongoing guidance as well as leading and managing major implementation processes including Compliance Management System (CMS) Monitoring, Third-Party Risk...

  • Senior Compliance Analyst

    4 days ago

    Farmington Hills, United States Robert Bosch Tool Corporation Full time

    Job Description Reporting to Compliance Manager - North America, the Senior Compliance Analyst will assist with the day-to-day operations of the North America compliance program for U.S. and Canada. The Senior Compliance Analyst will play an integral role in executing established compliance operating procedures, conducting assigned compliance...

  • Senior Compliance Analyst

    3 weeks ago

    Farmington Hills, United States Robert Bosch Tool Corporation Full time

    Reporting to Compliance Manager North America, the Senior Compliance Analyst will assist with the day-to-day operations of the North America compliance program for U.S. and Canada. The Senior Compliance Analyst will play an integral role in executi Compliance Analyst, Compliance Manager, Compliance, Analyst, Senior, Accounting, Manufacturing, Technology