What are the responsibilities and job description for the Compliance officer (Capital Markets and/or Wealth Management) position at Virtual?
Role : Compliance Officer (Capital Markets and / or Wealth Management)
Location : Remote.......550 W Texas Ave # 120 Midland Texas 79701
Duration : 03 Month
Need to travel 4 times per month
What will you do?
- Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and / or car to certain locations.
- Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
- Conduct virtual / on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.
- The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings / issues, and escalate any areas where concerns were noted.
- The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
- The employee is expected to contribute / generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
- Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
Client compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that :
What do you need to succeed?
regulations
