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Compliance Advisory Lead, Wealth Management

2 months ago

Farmington, Michigan, United States comerica Full time
Job Description

Job Title: Compliance Advisory Lead, Wealth Management

Job Summary:

The Compliance Advisory Lead within the Second Line of Defense (2LOD) is responsible for providing leadership, vision, and regulatory compliance subject matter direction to the Trust division of Wealth Management at Comerica.

Key Responsibilities:

  • Provide advice and guidance on the Comerica Trust Fiduciary businesses and related activities by possessing strong working knowledge of the applicable rules and regulations.
  • Serve as compliance Subject Matter Expert on regulations within assigned area of responsibility.
  • Provide ongoing leadership and coaching to business management and functional partners to assist with Compliance and Risk and Control 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.
  • Actively participate 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.
  • Review and appropriately challenge marketing collateral, and customer-facing documents for appropriate disclosures and to ensure compliance with applicable regulations.
  • Manage and maintain enterprise-wide policies, standards, and procedures designed to achieve compliance with applicable laws, rules, and regulations.
  • Participate in industry forums to understand and implement best practices as appropriate.
  • Evaluate and advise on new/revised products and services from a compliance risk perspective to assigned business units.
  • Assist in leading corporate-wide implementation efforts of new or revised regulatory requirements.
  • Collaborate with Compliance Testing Team to define the appropriate scope of compliance reviews.
  • Partner with business units to lead regulatory exams, internal and external audits, and enterprise-level reviews.
  • Assist business units with responses, as necessary.
  • Read, analyze, and develop an in-depth understanding of the regulation to determine requirements/mandates.
  • Advise business partners on special training needs and assist in the creation and revision of training materials and tools.
  • Lead development, implementation, and monitor necessary training programs for the team and risk compliance liaisons.

Qualifications:

  • Bachelor's degree from an accredited university preferably in Business, Finance, or related field.
  • 6 years of Risk Management or other related experience in the Financial Services Industry.
  • 6 years Experience in regulatory compliance or related Legal experience.
  • 5 years Experience in Financial Services industry.
  • 3 years Experience working with lines of business in interpreting and applying relevant rules, laws, and regulations to the business.

Licenses & Certifications:

  • Preferred: Certified Regulatory Compliance Manager (CRCM)
  • Preferred: Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • Preferred: Certified Trust and Financial Advisor (CTFA)

Work Best Category: Category C - Days in the office will either be designated days or will vary week to week from 2-5 days

Hours: 8:00am - 5:00pm Monday - Friday

Salary: To Be Determined Based on Individual Experience