Chief Compliance Officer (0400)

Apply by eMail:13495229.185@jobfrenzy1.com

Description:
In today’s turbulent economy, it is important for a talented compliance leader to work for an organization they can count on.  At M&T, we promote motivated, creative thinkers with the opportunity to direct their own career path within a rapidly evolving industry.
M&T is among the top 20 banks in the U.S., with more than $64 billion in assets and 150 years of experience. We are committed to being the best: for our employees, our customers and shareholders alike!
Enhance Compliance Program
In this highly visible role within M&T Securities you will recommend and develop improvements to the compliance oversight program as well as, revise and simplify compliance processes. This includes execution and reporting of FINRA Rule 3012/3013, maintenance of the written supervisory procedures and corresponding controls, management of examinations from regulatory agencies, risk assessments and compliance testing.
Create Surveillance Tools
You will guide Technology and Operations to create new surveillance reports for Sales Management and create a dashboard of key compliance measures for Senior Management.
 
Lead a Progressive Team
You will foster a “career-enriching” experience for a team of 20-25 talented professionals who are responsible for exemplary day-to-day execution.
 
Foster a Collaborative/Holistic Team Approach
You will be instrumental in creating a collaborative and cohesive sales/ compliance culture. 
Develop Compliance Training Program
You will create simplified yet thorough compliance product training and reeducate Financial Consultants. 
Required Qualifications
Bachelor’s Degree 
Minimum seven (7) years of Compliance experience
Minimum five (5) years management experience
FINRA Series 7 License (General Securities License)
FINRA Series 24 License (General Supervisory Principal License)
Strong Leadership acumen
Ability to handle problem resolution and mediating issues
Desired Qualifications
Master’s Degree or law degree
FINRA Series 63 (State Securities License)
Life, Accident and Health Insurance License
FINRA Series 4 (Registered Options Principal license)
FINRA Series 53 (Supervising Municipal Securities Representatives)
Experience interacting with regulatory bodies: FINRA, NYSE, SEC strong understanding of SEC, FINRA, and MSRB rules and regulations with the ability to incorporate them into practical policies and procedures.
Strong knowledge with several of the following products: Equities, Fixed Income, Government Securities, Mutual Funds, Annuities, UITs
Legal, risk management, audit or a regulatory agency a plus
Current or previous membership on NASD District Committee

Requirements:
See Above

Education: Bachelor

Experience: More than 5 years

Travel: None

Apply by eMail:13495229.185@jobfrenzy1.com

Job Created: Wed Aug 26 2009 04:27:48 AM
Last Modified: Tue Oct 27 2009 04:27:04 AM