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Compliance Product Director - U.S. Citigold / Wealth Management - C15 / Tampa
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- Serves as a senior business & product compliance risk manager for Independent Compliance Risk Management (ICRM) coverage of the U.S. Citigold/CPC business segment within Wealth, as well as insurance and brokerage product offerings.
- This role is responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise.
- Provides compliance guidance on rules and regulations relating to Retail Sales of Non-Deposit Investment Products (RNDIP), including Reg BI, FINRA Rules, the Investment Advisers Act and State Insurance Regulations.
- Developing, attracting, and retaining talent; recommending staffing levels required to carry out the unit's role and responsibilities effectively while establishing and adhering to talent management processes and compensation and performance management programs.
- Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation.
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