search
Home > New Jersey jobs > New Jersey accounting/financial

Posted: Sunday, February 4, 2018 5:39 PM

Job Description
As a Fiduciary Compliance Program Manager, within clients Enterprise Compliance organization, part of the Independent Risk Management organization, you will be based in Pittsburgh or Philadelphia.
You will be a member of a centralized team that will have responsibility for the development, coordination and oversight of the Fiduciary Compliance Program for the Wealth Management, Institutional Asset Management and Hawthorn businesses within the Asset Management Group (AMG) line of business. Preferred experience includes in:depth knowledge of Regulatory trust and state fiduciary law and the ability develop and implement the practical and essential elements of a Fiduciary compliance program.

You will identify compliance risk by way of Enterprise Compliance Risk Assessments and have oversight of Enterprise Compliance challenge of business risk control self:assessments. This role will develop and implement action plans to mitigate identified risk and assist the line of business with regulatory exams and inquiries. You will serve as a contact for federal and state regulators, participate in the development and implementation of fiduciary policies and procedures and monitor fiduciary activities for compliance with policies, procedures, regulations and laws. You will also advise the business in connection with the implementation of processes to comply with new regulations and/or laws. Lastly this role will help with providing oversight of fiduciary committees, assisting in developing and fulfilling the compliance monitoring programs; and reviewing marketing and advertising materials.
Job Profile:
:Communicates effective business unit compliance programs to prevent or identify illegal, unethical, or improper business practices. Trains and monitors junior staff and raises issues to senior team members. Demonstrates ability to constructively challenge conclusions/status quo and credibly influences customers.
:Updates compliance policies and procedures as needed. Ensures that compliance manuals, front office manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Coordinates regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies. Independently challenges analyses, reviews and recommendations.
:Identifies and helps to define the compliance program objectives for assigned line(s) of business, products/services and applicable regulations. Communicate and socialize those objectives (from a leadership position) to the business. Coordinates compliance monitoring program. May serve as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, document review and other business initiatives.
:Reviews compliance reports. Identifies issues, escalates through proper governance channels as needed, and recommends corrective action plans. Reviews and analyzes assessments of compliance risk and internal controls, as appropriate. Analyzes regulatory developments, advise business management of proposed rule changes and provide recommendations. Assists, as appropriate, in updating or implementing new/enhanced processes in order to ensure timely and effective compliance with new regulatory requirements.
:Support key business initiatives by identifying compliance risks and providing resolutions to manage these risks. May include developing and/or conducting Compliance training programs for specific employees. Serves as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, documentation review and other business initiatives. Work cooperatively with the business, legal partners, audit and other risk disciplines across the organization.
Required Education and Experience:
5+ to 7 years of experience.
2+ to 3 years of Trust or Fiduciary Compliance exper

Source: https://www.tiptopjob.com/jobs/77918030_job.asp?source=backpage


• Location: South Jersey

• Post ID: 53626762 newjersey
newjersey.backpage.com is an interactive computer service that enables access by multiple users and should not be treated as the publisher or speaker of any information provided by another information content provider. © 2018 backpage.com