VP, GWS Investment Products Compliance
1 day ago
Job Summary
Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry to lead the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions (“GWS”) Investment Products. Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans for compliance initiatives. Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives.
Essential Duties and Responsibilities
- Identifies and manages regulatory risks associated with specific division and/or department assigned.
- Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
- Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
- Evaluates the compliance risks, disclosures, and controls for new products and services and potential conflicts of interest.
- Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
- Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the compliance department.
- Represents Compliance on major firm level projects and/or initiatives.
- Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
- Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
- Coaches and mentors compliance associates, identifies training needs and recommends appropriate development programs.
- Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns.
- Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.
- May serve as a liaison between the organization and industry committees such as SIFMA, SIA, FSI, and FINRA.
- Responds to and oversees responses to regulatory inquiries.
- Manages compliance exams of the firm by various regulatory bodies.
- Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Advanced knowledge of:
- Compliance and legal procedures in the financial services industry.
- Concepts, practices, and procedures of the financial services industry.
- Retail and clearing firm operations.
Advanced skill in:
- Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
- Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
- Project management skills and experience sufficient to successfully complete long and short-term projects.
- Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to:
- Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
- Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
- Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
- Partner with other functional areas to accomplish objectives.
- Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
- Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
- Work independently as well as collaboratively within a team environment.
Educational/Previous Experience Requirements
Education/Previous Experience
- Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
- Minimum ten (10) years management experience within the financial services industry.
~or~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
- None Required.
- Appropriate series license(s) for assigned functional area preferred.
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
We expect our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
-
VP of HR
2 months ago
Saint Petersburg, United States Jobot Full timeJob DescriptionJob DescriptionVP of HR / Wealth TechThis Jobot Job is hosted by: Katrina McFillinAre you a fit? Easy Apply now by clicking the "Apply Now" buttonand sending us your resume.Salary: $150,000 - $200,000 per yearA bit about us:We are a leading wealth management platform for independent registered investment advisors (RIAs)Why join us?Strong...
-
Senior Compliance Counsel
4 days ago
Saint Louis, United States Edward Jones Full timeWant a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...
-
Senior Compliance Counsel
4 days ago
Saint Louis, United States Edward Jones Full timeWant a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...
-
Senior Compliance Counsel
4 days ago
Saint Louis, United States Edward Jones Full timeWant a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...
-
VP, BSA
1 day ago
Saint Petersburg, United States BayFirst National Bank Full timeBayFirst National Bank is a full-service community bank as well as a national SBA Lender dedicated to providing a wide range of high-quality banking services delivered in a personalized, friendly manner. Founded in 1999 and headquartered in St. Petersburg, Florida, we are a true community bank with the goal of becoming a one-stop shop and trusted financial...
-
Senior Alternative Investment Product Manager
2 months ago
Saint Louis, United States Edward Jones Full timeYour passion. Our purpose. This could be powerful.Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day...
-
Vice President of Loss Mitigation
2 weeks ago
Saint Louis Park, MN, United States Two Harbors Investment Corp. Full timeThe VP of Loss Mitigation provides leadership, direction, and coordination of all activities for functions specific to Loss Mitigation in accordance with regulatory compliance, and company guidelines. This position is responsible for managing all activities in accordance with established work rules, goals & objectives, and improving timeline and performance....
-
Austin Allen Company
4 weeks ago
saint petersburg, United States Austin Allen Company - Professional Recruitment Full timeJoin Our Team as a Chemical Operations Manager!Are you ready to take your career to the next level? We’re looking for a dynamic and motivated Chemical Operations Manager to lead our manufacturing team to new heights! We believe in the power of teamwork and innovation. If you’re passionate about leading a team, driving excellence, and making a significant...
-
Veterinary Product Compliance Liaison
2 weeks ago
Saint Joseph, Missouri, United States Yoh Full timeAbout YohYoh is a global staffing company that has been helping professionals like you achieve their career goals for over 65 years.The OpportunityWe are currently seeking an experienced Veterinary Product Compliance Liaison to join our team. As a Veterinary Product Compliance Liaison, you will play a critical role in ensuring the timely and accurate...
-
Veterinary Product and Compliance Expert
2 weeks ago
Saint Joseph, Missouri, United States Yoh Full timeJoin Yoh as a Veterinary Product and Compliance Specialist in St Joseph, MO or Duluth, GA. This is a 12-month W2 contract with an option to extend. You will work on-site 2-3 days per week.Job SummaryThis role is responsible for addressing product inquiries, complaints, and suspected adverse events in a timely and compliant manner. Key responsibilities...
-
Compliance Officer- Webull Advisors
3 months ago
St Petersburg, United States Webull Advisors Full timeCompliance- CCOSt. Petersburg, Florida (On-site)Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services. We are looking for a talented compliance professional in St. Petersburg, Florida to join our compliance department and provide support for our investment advisory services.Responsibilities:Contribute to the regulatory...
-
Senior Investment Associate
3 days ago
Saint Louis, United States MRINetwork Jobs Full timeWhy Join Our Team?We offer a unique opportunity to work with a leading investment firm, supporting high net worth individuals and families in achieving their financial goals.Salary: $100,000 - $130,000 per yearAbout the RoleIn this challenging and rewarding role, you will be responsible for supporting client-facing consultants with investment needs,...
-
Blood Production Specialist
3 weeks ago
Saint Petersburg, United States OneBlood Full timeJob OverviewWe are seeking a skilled Blood Production Specialist to join our team at OneBlood. This role is responsible for the manufacture, storage, and distribution of blood and blood products in compliance with our standard operating procedures.About OneBloodOneBlood is a not-for-profit organization dedicated to providing safe, available, and affordable...
-
Production Supervisor
3 weeks ago
Saint Petersburg, United States Compulink Cable Assemblies of Florida, INC Full timeJob DescriptionJob DescriptionSt Petersburg, FLDescription:Summary: Uphold a safe, professional, and nurturing workplace atmosphere for all staff members while coordinating and guiding production operators and group leaders at every level to ensure efficiency, quality, and adherence to scheduled due dates.Essential Duties and Responsibilities:Ø Mandate...
-
Insurance Product Manager
2 months ago
saint petersburg, United States FinTrust Connect Full timeFor more Job Opportunities follow FINTRUST CONNECT here: FinTrust Connect: Jobs | LinkedInInsurance Product Manager -BOP -St. Petersburg, FLFinTrust Connect, a trusted partner of a well-established financial institution, is in search of a dynamic Product Manager to oversee our client's CMP products, specifically Business Owner’s Policies (BOP) in the...
-
Production Manager
4 weeks ago
St Petersburg, United States Austin Allen Company - Professional Recruitment Full timeJoin Our Team as a Chemical Operations Manager!Are you ready to take your career to the next level? We’re looking for a dynamic and motivated Chemical Operations Manager to lead our manufacturing team to new heights! We believe in the power of teamwork and innovation. If you’re passionate about leading a team, driving excellence, and making a significant...
-
Case Designer, Highland Capital Brokerage
6 days ago
Saint Petersburg, United States Osaic Full time $55,000 - $65,000Operations Opportunity in Insurance Industry Case Designer,Highland Capital Brokerage Location(s): All Locations & Remote Role Type: Full time Salary: $55,000 - $65,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and...
-
Case Designer, Highland Capital Brokerage
6 days ago
Saint Petersburg, United States Osaic Full time $55,000 - $65,000Operations Opportunity in Insurance Industry Case Designer,Highland Capital Brokerage Location(s): All Locations & Remote Role Type: Full time Salary: $55,000 - $65,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and...
-
Regulatory Compliance Officer
3 days ago
Petersburg, United States BioSpace, Inc. Full timeCompany OverviewCivica is a leading non-profit organization working tirelessly to reduce generic drug shortages and related price increases in the US. Our team is committed to delivering high-quality solutions that benefit patients and healthcare providers alike.We're seeking an experienced Quality Engineer to join our team and contribute to our mission. As...
-
Commercial Insurance Product Strategist
2 weeks ago
saint petersburg, United States FinTrust Connect Full timeFinTrust Connect, a trusted partner of a well-established financial institution, is seeking an experienced Commercial Insurance Product Strategist to oversee the client's CMP products in the Greater Tampa Bay Area.The ideal candidate will lead the strategy, development, and management of Business Owner's Policies (BOP) and ensure they meet the needs of small...