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RIA Compliance Manager

Recruiter
SVB Financial Group
Location
Menlo Park
Salary
Competitive
Closing date
17 Dec 2022

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Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance, Compliance & Regulation
BE PART OF A BANK LIKE NO OTHER. When you work with the world's most innovative companies, you know you're making a difference. Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work. They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business. Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive organization. And we work diligently to encourage all with different ways of thinking, different ways of working, and especially those traditionally underrepresented in technology and financial services, to apply. Job Description: The Compliance Manager, RIA Compliance will support day-to-day compliance of SVB Wealth LLC (Retail RIA). The Manager will work with the Chief Compliance Officer and the Compliance Team supporting the ongoing regulatory work in the group, contributing to broaden the expertise and resources of the group, in addition to managing special projects. The Compliance Manager must have a strong knowledge of the Adviser's Act of 1940, and Investment Company Act 1940. This position will report to the Chief Compliance Officer and be responsible for working with key stakeholders of the businesses and the Compliance Team. Position Responsibilities: Working closely with the Compliance Team and internal stakeholders and partner groups to identify regulatory and compliance ; Manage Code of Ethics supervision and Access Person activities; Manage the on-boarding of new hires; Work with Compliance team on internal and external audits; Ensure the Compliance Policies & Procedures and Code of Ethics manuals are current and reflect the required securities laws and business model(s); Work with Compliance AML Officer regarding CIP, KYC, client Due Diligence and AML Red Flag regulations; Provide business teams compliance guidance, i.e. Advisor Teams, Investment Operations, Portfolio Management, Trade Desk Team, Investment Product Team; Identify areas for improvement within Compliance & Operations and design action plans. Required Experience: Bachelor's Degree preferred. 3 or more years of experience in regulatory compliance, operational risk or risk management SEC Series 65 will be required within 90 days of start date Knowledge & Skills Experience supporting Corporate Operations from a Risk or Compliance perspective. Experience with SEC and NASAA regulations and other regulatory agency guidance Strong written and verbal interpersonal communication skills. Experience helping an organization manage through high levels of regulatory and organizational change. Base Pay: $104,941.00 - $149,182.00 Actual starting base pay will be determined on skills, experience, and other non-discriminatory factors permitted by law. Total compensation may also include variable incentives, bonuses, benefits, and/or other perks, as outlined in any formal offer made. SVB benefit programs are designed to meet our employees where they are in life. SVBers may enroll in core benefits programs, plus take advantage of customized perks and offerings, including those designed to support families, however defined. More information regarding our benefits offerings can be found here. 2022 SVB Financial Group. All rights reserved. SVB, SVB FINANCIAL GROUP, SILICON VALLEY BANK, MAKE NEXT HAPPEN NOW and the chevron device are trademarks of SVB Financial Group, used under license. Silicon Valley Bank is a member of the FDIC and the Federal Reserve System. Silicon Valley Bank is the California bank subsidiary of SVB Financial Group (Nasdaq: SIVB). Equal Employment Opportunity Silicon Valley Bank is an equal opportunity employer and is dedicated to expanding its commitments and investments to create a more diverse, equitable and inclusive company culture and innovation ecosystem. We are strongly committed to the values and policy of equal employment opportunity across our employment practices. Silicon Valley Bank UK Limited is registered in England and Wales at Alphabeta, 14-18 Finsbury Square, London EC2A 1BR, UK (Company Number ). Silicon Valley Bank UK Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and Prudential Regulation Authority (Firm Reference Number 543146). Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request.

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