Senior Compliance Manager Comerica

3 weeks ago

Farmington, United States FIDUCIARY & INVENSTMENT RISK MANAGEMENT ASSOCIATION INC Full time

Advancing Education, Enhancing Connections

Comerica Bank Senior Compliance Manager -- Wealth and Trust Compliance Advisory Manager Farmington, MI (open to multiple locations)

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. 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.

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. Lead and manage corporate-wide implementation of new or revised regulatory requirements and ongoing risk assessments. 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. Evaluate and advise on new/revised products and services. Review and appropriately challenge marketing collateral, and customer-facing documents for appropriate compliance disclosures. Review and challenge business line incentive compensation plans to ensure compliance with applicable regulations. Testing/Audits/Exams Collaborate with Enterprise Compliance Testing to assist in defining the appropriate scope of compliance reviews. Act as a primary contact for regulatory exams, internal and external audits, and enterprise-level reviews. 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.

Position Qualifications: Bachelor's Degree in Business, Finance, or related field 10 years financial services or related industry experience 8 years compliance, risk management in financial services or related industry experience 5 years of experience Managing a compliance risk assessment framework

Desired Licenses/Certifications: Certified Regulatory Compliance Manager (CRCM); Certified Fiduciary & Investment Risk Specialist (CFIRS); Certified Trust and Financial Advisor (CTFA)

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