Zions Bank
Investment Compliance Officer - SLC or Houston - Hybrid Schedule
Zions Bank, Salt Lake City, Utah, United States,
Investment Compliance Officer - SLC or Houston - Hybrid Schedule
Zions Bancorporation is one of the nation’s premier financial services companies operating as a collection of great banks under local brands and management teams in high-growth western markets. Zions is regularly recognized by
American Banker as
one of the “Best Banks to Work For” and as having a top banking team in its list of “The Most Powerful Women in Banking.” Our customers consistently vote us as the best bank in our local markets. We value our employees, and we are committed to search out, recognize and create fulfilling opportunities for outstanding people within our organization, rewarding them for their contributions to our success. We recognize that banking is a “local” business, and that to be successful, we must have very strong ties to the communities we serve and strong relationships with our customers.With benefits starting on day one, 12 bank holidays, profit sharing and company-matched 401(k) contributions, Zions is dedicated to being an employer of choice in our communities. At Zions, the possibilities are endless. You bring the talent; we bring the opportunity.We are currently seeking an
Investment Compliance Officer
within the Market, Liquidity, Wealth Risk & Compliance Team. This position can be located in Houston, TX or Salt Lake City, Utah.DescriptionMarket, Liquidity, and Wealth Risk Management (MLW) Team members work closely with key executives to monitor and manage some of the most significant (and expanding) processes associated with the financial services industry. The MLW team provides second line oversight to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer, Capital Markets and Public Finance groups.Responsibilities:Provide subject matter expertise on compliance and risk topics pertinent to the institutional broker dealer, bank dealer and municipal advisor.Conduct scheduled monitoring and testing reviews over assigned business line activities in accordance with the compliance and risk program.Communicate findings/issues to business line management in a professional manner.Support the broker dealer compliance program and officer as needed.Interact with business line partners; schedule and conduct monthly meetings.Review electronic communications and marketing materials as needed.Assist in the coordination of reviews, and impact analysis of proposed and new regulations and industry enforcement actions.Manage compliance governance documents including the department policy and procedure manual.Facilitate compliance oversight for broker dealer, bank dealer and municipal advisor, including:Oversee Branch Audit Program including onsite audits of registered branch locations.Political contributions, restricted lists and insider trading compliance.Support the Compliance and Risk staff by assisting with the execution of action plans and initiatives.The environment is dynamic and growing, as risk officers frequently evaluate business units throughout the entire Enterprise and affiliates. Some travel may be required.Qualifications:Requires a bachelor’s degree in business, finance or a related field.2-4+ years of experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly related experience.A combination of education and experience may meet requirements.FINRA Series 7, 79, 53, or 24 strongly preferred. Employee will be required to obtain required FINRA licenses within 12 months of employment.Experience in BSA/AML a plus.Experience in brokerage or public finance a plus.Strong analytical skills with the ability to bring together large amounts of data into succinct reports.Strong Excel skills and experience in data analysis, data mining, or database management preferred.Excellent verbal and written communication skills and ability to present information to regulators and senior management.Strong attention to detail and organizational skills. Ability to learn on the fly and think independently.Self-motivation and the ability to work independently or with team members.This position will be open until filled.All candidates, including those with criminal histories will be considered for employment. However, a background check adjudicated consistently with the FDIC Section 19 regulation will be completed on any candidate who accepts a conditional job offer from the Company. Because the Company is a financial institution, the FDIC guidelines apply to all positions within the company and as such any and all job duties have a direct relationship to a candidate’s criminal history and that criminal history would need to align with the FDIC Section 19 regulations.Zions Bancorporation, National Association prohibits illegal discrimination and reaffirms its policy of providing Equal Employment Opportunity (EEO), by extending equal employment and advancement opportunities to all employees and applicants for employment, without regard to race, color, religion, age (40 and over), sex, pregnancy, gender, disability, national origin, ethnic background, citizenship, protected veteran status, military service, sexual orientation, gender identity, genetic information or any other characteristic protected by applicable federal, state or local law.It is the Company’s policy not to discriminate because of a person’s relationship or association with a protected veteran. This includes spouses and other family members. Also, Zions will safeguard the fair and equitable treatment of protected veteran spouses and family members with regard to all employment actions and prohibit harassment of applicants and employees because of their relationship or association with a protected veteran.Applicants Requesting Accommodations: If you are a qualified individual with a disability or a disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to use or access our career site. You can request reasonable accommodations by contacting us at careers@zionsbancorp.com or 801/844-7618. Please email your resume/cover letter, indicate what position you are interested in and include "Accommodation needed" in the subject line to ensure your information is routed to the appropriate contact.Click here to view applicable Federal, State and/or local employment law posters.Create and manage profiles for future opportunities.Zions Bank a division of Zions Bancorporation, N.A. Member FDIC
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Zions Bancorporation is one of the nation’s premier financial services companies operating as a collection of great banks under local brands and management teams in high-growth western markets. Zions is regularly recognized by
American Banker as
one of the “Best Banks to Work For” and as having a top banking team in its list of “The Most Powerful Women in Banking.” Our customers consistently vote us as the best bank in our local markets. We value our employees, and we are committed to search out, recognize and create fulfilling opportunities for outstanding people within our organization, rewarding them for their contributions to our success. We recognize that banking is a “local” business, and that to be successful, we must have very strong ties to the communities we serve and strong relationships with our customers.With benefits starting on day one, 12 bank holidays, profit sharing and company-matched 401(k) contributions, Zions is dedicated to being an employer of choice in our communities. At Zions, the possibilities are endless. You bring the talent; we bring the opportunity.We are currently seeking an
Investment Compliance Officer
within the Market, Liquidity, Wealth Risk & Compliance Team. This position can be located in Houston, TX or Salt Lake City, Utah.DescriptionMarket, Liquidity, and Wealth Risk Management (MLW) Team members work closely with key executives to monitor and manage some of the most significant (and expanding) processes associated with the financial services industry. The MLW team provides second line oversight to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer, Capital Markets and Public Finance groups.Responsibilities:Provide subject matter expertise on compliance and risk topics pertinent to the institutional broker dealer, bank dealer and municipal advisor.Conduct scheduled monitoring and testing reviews over assigned business line activities in accordance with the compliance and risk program.Communicate findings/issues to business line management in a professional manner.Support the broker dealer compliance program and officer as needed.Interact with business line partners; schedule and conduct monthly meetings.Review electronic communications and marketing materials as needed.Assist in the coordination of reviews, and impact analysis of proposed and new regulations and industry enforcement actions.Manage compliance governance documents including the department policy and procedure manual.Facilitate compliance oversight for broker dealer, bank dealer and municipal advisor, including:Oversee Branch Audit Program including onsite audits of registered branch locations.Political contributions, restricted lists and insider trading compliance.Support the Compliance and Risk staff by assisting with the execution of action plans and initiatives.The environment is dynamic and growing, as risk officers frequently evaluate business units throughout the entire Enterprise and affiliates. Some travel may be required.Qualifications:Requires a bachelor’s degree in business, finance or a related field.2-4+ years of experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly related experience.A combination of education and experience may meet requirements.FINRA Series 7, 79, 53, or 24 strongly preferred. Employee will be required to obtain required FINRA licenses within 12 months of employment.Experience in BSA/AML a plus.Experience in brokerage or public finance a plus.Strong analytical skills with the ability to bring together large amounts of data into succinct reports.Strong Excel skills and experience in data analysis, data mining, or database management preferred.Excellent verbal and written communication skills and ability to present information to regulators and senior management.Strong attention to detail and organizational skills. Ability to learn on the fly and think independently.Self-motivation and the ability to work independently or with team members.This position will be open until filled.All candidates, including those with criminal histories will be considered for employment. However, a background check adjudicated consistently with the FDIC Section 19 regulation will be completed on any candidate who accepts a conditional job offer from the Company. Because the Company is a financial institution, the FDIC guidelines apply to all positions within the company and as such any and all job duties have a direct relationship to a candidate’s criminal history and that criminal history would need to align with the FDIC Section 19 regulations.Zions Bancorporation, National Association prohibits illegal discrimination and reaffirms its policy of providing Equal Employment Opportunity (EEO), by extending equal employment and advancement opportunities to all employees and applicants for employment, without regard to race, color, religion, age (40 and over), sex, pregnancy, gender, disability, national origin, ethnic background, citizenship, protected veteran status, military service, sexual orientation, gender identity, genetic information or any other characteristic protected by applicable federal, state or local law.It is the Company’s policy not to discriminate because of a person’s relationship or association with a protected veteran. This includes spouses and other family members. Also, Zions will safeguard the fair and equitable treatment of protected veteran spouses and family members with regard to all employment actions and prohibit harassment of applicants and employees because of their relationship or association with a protected veteran.Applicants Requesting Accommodations: If you are a qualified individual with a disability or a disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to use or access our career site. You can request reasonable accommodations by contacting us at careers@zionsbancorp.com or 801/844-7618. Please email your resume/cover letter, indicate what position you are interested in and include "Accommodation needed" in the subject line to ensure your information is routed to the appropriate contact.Click here to view applicable Federal, State and/or local employment law posters.Create and manage profiles for future opportunities.Zions Bank a division of Zions Bancorporation, N.A. Member FDIC
#J-18808-Ljbffr