Wealth Management Governance & Regulatory Program Manager - Salt Lake City
Zions Bank
- Salt Lake City, UT
- Permanent
- Full-time
- Serve as the primary point of contact for regulatory agencies for Wealth Management. Coordinate regulatory examinations, audits, and inquiries and ensure timely and accurate responses to regulatory requests.
- Coordinate quarterly touchpoints with key regulators. Review applicable committee materials and prepare executive summary of key points of interest or significant events that may be reviewed during the touchpoint.
- Prepare committee materials for business and risk oversight committees including key reporting metrics, executive summaries and analysis.
- Conduct Risk and Control Self-Assessment (RCSA) of Wealth Management’s key operational controls and oversee the ongoing assessment and monitoring of those controls.
- Conduct scheduled compliance and supervision monitoring and testing reviews over assigned business line activities in accordance with the supervisory program.
- Manage business line governance documents including the charters, policies & procedures, approval authorities, and documentation retention.
- Communicate findings/issues to business line management and develop and executive corrective action plans.
- Provide subject matter expertise on compliance and risk topics pertinent to advisory services and fiduciary asset management.
- Perform compliance reviews and approvals of business cards, emails signatures, and marketing and website content.
- Review and oversee ongoing business line processes and reporting for advisory and fiduciary asset management services, including:
- Preparation and documentation of onsite audits of registered branch locations
- Maintenance of licensing and registration information for advisors and license bankers.
- Review and monitoring and administrative and investment review(s) status and issue resolution.
- Quality assurance and review of Investment Policy Statements’ creation, compliance to applicable guidelines.
- Conduct reviews of internal investment guidelines and approvals
- Review new account documentation from a KYC/AML due diligence standpoint.
- Execute other duties as assigned by department management.
- Requires a bachelor’s degree in business, finance or a related field and 5+ experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing, or other directly related experience. A combination of education and experience may meet requirements.
- FINRA Series 7 and 66 certifications are required. FINRA Series 24 preferred.
- In-depth knowledge of advisory and fiduciary asset management rules, regulations, and industry standards required.
- Strong analytical skills with the ability to bring together large amounts of data into succinct reports.
- Strong Excel skills and experience in data analysis, data mining, or database management is preferred.
- Excellent verbal and written communication skills and ability to present information to regulators, senior management.
- Strong attention to detail and organizational skills. Ability to learn as you go and think and problem-solve independently.
- Self-motivation and the ability to work independently and with team members.
- Medical, Dental and Vision Insurance – START DAY ONE!
- Life and Disability Insurance, Paid Paternal Leave, and Adoption Assistance
- Health Savings (HSA), Flexible Spending (FSA), and dependent care accounts
- Paid Training, Paid Time Off (PTO), and 11 Paid Federal Holidays
- 401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience
- Mental health benefits, including coaching and therapy sessions
- Tuition Reimbursement for qualifying employees
- Employee Ambassador preferred banking products