Compliance Officer-Private Banking | U.S. Trust Company | Miami, FL
U.S. Trust, a premier 150+ year old wealth management firm, is one of
the nation's oldest and most well respected private wealth management
organizations. The firm was founded on Wall Street in 1853 and today
manages over $79 billion in assets for affluent individuals, families
and institutions throughout the country. We are a subsidiary of Charles
Schwab.
U.S. Trust seeks an experienced, dynamic Compliance professional to lead
the execution of the firms assigned compliance program in a cost-effective
manner and escalate the findings to the Director of Compliance Review.
In this highly visible role, this individual will be partner with the
business line in our newly opened downtown Miami offices and will be
recognized as a valued opinion resource, both within the Compliance team
and with business-line partners, in guiding the firm toward cost-effective,
sustainable best practices.
Responsibilities:
- Able to identify and effectively advise management, committees,
project leaders and other employees throughout the organization on
compliance risks and controls to mitigate those risks.
- Must be committed to promoting best practices in the
application of policies, procedures and other elements of governance
affecting compliance risk throughout the organization.
- Possess strong research and analytical skills in order to
examine and extract relevant information while conducting compliance
reviews and other assessments.
Qualifications:
- A minimum of 5-7 years fiduciary or private banking compliance experience is required, ideally from a bank auditing department or an accounting firm.
- Be current on laws, regulations and self-regulatory rules, or other emerging regulatory issues practices related to fiduciary/asset management.
- Must have demonstrated professional proficiency in compliance.
- Must have outstanding analytical skills.
- Be technically proficient with PC and Web based tools/products.
- Industry recognized certification(s), e.g., CFIRS, CCRM, CIA is preferred.
- Experience with Latin American Compliance rules & regulations is preferred.
- An understanding of of the brokerage business is preferred.
- Ability to execute (test, monitor and verify) the compliance program.
- Bachelors degree required, JD would be a BIG plus.
APPLYING:
Qualified candidates should submit a cover letter and resume via WORD
document(s) recruiting2@ustrust.com and/or register/apply online at our
careers site at www.ustrust.com, job ID BB8z001.
U.S. Trust is an equal opportunity employer.
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