Wealth Management Compliance and Risk Manager

Profile

Wealth Management Compliance and Risk Manager
The candidate will lead and direct, in a manner to ensure effectiveness, the control audit processes, as well as processes that mitigate financial, operating, legal, and regulatory risks in the Wealth Management business lines (including Private Wealth and Institutional Services, the supporting units of Financial Services Operations and Real Estate, portions of Trustmark Financial Services and Trustmark Investment Advisors) all in coordination with the company’s offices of the CFO, President of Wealth Management, ERM, and other enterprise oversight groups. Will work closely with each business line manager of Wealth Management to ensure effective controls, procedures, and processes are established and maintained, to meet both internal and external regulatory standards. Lead and/or participate in control and financial audit processes, risk assessment processes, and lead resolution or fulfillment of internal and external findings. Primary contact within Wealth Management for regulatory exams, questions, etc. Act as liaison and coordinate for communications and responses regarding compliance, audit, and external legal among or between the trust business lines, and participate in necessary resolutions, and in coordination with the company’s internal counsel and ERM office. Address account-specific issues in coordination with Legal, Audit, ERM, and the applicable business line manager. Provide active leadership, membership, and participation in assigned committees, including Wealth Management Division Management Committee, Special Assets Committee, the Account Acceptance Committee, TFS’s RNDIP Committee, TIA Board, and various bank committees. Manages and administers a monitoring and quality assurance testing program to ensure compliance across assigned business lines. Responsible for departmental training on compliance awareness and any regulatory changes. Maintains a proficient knowledge of rules and regulations across the business lines. Perform additional duties as assigned.

Company info

Sign Up Now - EmploymentCrossing.com