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Wealth Management Compliance Officer
2 months ago
The Wealth Management Compliance Officer manages all compliance aspects of the policies and procedures related to the Bank's non-deposit investment products subsidiaries which are Ocean Financial Services, LLC (OFS), Ocean Financial Advisors, LLC (OFA) and Ocean Insurance Services (OIS) to ensure all are in compliance with regulatory mandates.
Responsibilities
Serves as the primary liaison with the Chief Compliance Officer, AML Compliance Officer, BSA Officer, and Ocean Bank's compliance team with respect to NDIP subsidiaries. Updates and implements enhancements to the NDIP, OFS, OFA and OIS policies and procedures to ensure regulatory mandates are met over time, and for updating policies and procedures to ensure ongoing compliance with applicable laws, rules, regulations, and industry guidance. Responsible for ensuring that the registered bank employees maintain valid registration and for training them in all procedures. Also responsible for training and overseeing non-licensed employees as to non-permissible activities within the context of NDIP policies, procedures, laws, rules and regulations. Coordinates delivery of information and documentation requested during internal audits, compliance reviews, external consulting engagements, and regulatory examinations. Act as approving registered principal for employee-related accounts, high risk accounts, and other accounts that may require enhanced review and due diligence as may be determined by Management. Ensures all marketing or other promotional material that contains or refers to the Bank, OFS, OFA and OIS are approved by the Bank's Compliance team.
Qualifications
- Bachelor's Degree in Business Administration, Accounting, Finance or similar field with a minimum of five (5) years of compliance experience required; or equivalent combination of education and experience.
- FINRA Series 7 licensure is required. FINRA Series 24 License is preferred.
- Comprehensive knowledge of NDIP products, BSA/AML compliance, best interest, compliance, broker dealer operations, registered investment advisory operations, and compliance management.
- Must possess excellent organizational, interpersonal, written and verbal communication (English/Spanish) skills.
- Must have proactive behavior managing client inquiries and daily issues. Computer knowledge in MS Office Software (e.g. Excel, Word, Power Point and Outlook).
- High quality service advocacy. Knowledge of banking and investment laws and regulations, such as FINRA, SEC, BSA, AML, Patriot.
- Understanding of banking laws and applicable compliance regulations is required.
Job Posting Locations
In this role you can work hybrid from Miami, Florida, United States
