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Zions Bancorporation · 1 month ago

Compliance Manager – Market, Liquidity, & Wealth - Salt Lake City

Salt Lake City, Utah, United States

Full-time

Onsite

Senior Level, Lead/Staff

8+ years exp

Zions Bancorporation is one of the nation’s premier financial services companies, recognized for its commitment to local communities and employee fulfillment. They are currently seeking a Risk and Compliance Manager to oversee compliance oversight and operational risk programs for specialty business lines, ensuring adherence to regulatory requirements and managing a team of compliance officers.

AgricultureBankingFinanceFinancial Services

Responsibilities

Manage and mentor compliance officers, fostering a culture of accountability and continuous improvement

Oversee execution of the risk and compliance program across all assigned business lines

Review, analyze, and evaluate business processes, procedures, and controls to for compliance with regulatory requirements and written supervisory procedures

Maintain and update Written Supervisory Procedures (WSPs) in alignment with FINRA, SEC, and other applicable regulations

Manage ongoing compliance governance activities including oversight, monitoring, and reporting processes, including outside business activities, personal securities accounts, and political contribution disclosure

Provide regular risk and compliance reports and updates to senior management and applicable risk committees

Qualification

Financial services complianceRegulatory knowledgeCompliance leadershipFINRA licensesAnalytical skillsData analyticsManagement experienceCommunication skillsOrganizational skillsAttention to detail

Required

Requires a bachelor's degree in business, finance or a related field

8+ experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly related experience

Employee will be required to obtain required FINRA licenses within 12 months of employment

Prior management or compliance leadership experience required

Knowledge of FINRA, SEC, and/or MSRB regulations and application of regulatory requirements

Strong analytical skills with the ability to bring together large amounts of data into succinct reports

Excellent verbal and written communication skills and ability to present information to regulators and senior management

Strong attention to detail and organizational skills

Ability manage multiple priorities and think independently

Experience with compliance technology platforms and data analytics