- Financial Services
- Analysis Skills
- Wealth Management
The Deputy Chief Compliance Officer will work directly with the Company’s Chief Compliance Officer to oversee all aspects of the Company’s compliance and ethics program. The compliance function, together with internal audit, risk management and legal, constitute the Company’s business assurance function. This position will work collaboratively within the business assurance team to accomplish the team’s objectives. This position reports to the Chief Compliance Officer.
Draft compliance policies and procedures. Collaborate with business unit leaders to help create policies, procedures and a culture which sustains and strengthens compliance with federal banking and securities laws and other applicable regulations. Provide practical, knowledgeable and effective advice on all compliance matters. Assist in the testing, training, and monitoring of these policies and procedures.
Due diligence. Conduct internal and external investigations and background checks; advise on diligence issues with respect to new and existing business. Serve on various compliance and risk management committees and assist in the management and coordination of responses to regulatory examinations. Liaise with examiners, coordinate meetings and the delivery of requested documentation, and retain backup files.
Resolve compliance issues. Partner with the Company’s legal, risk and internal audit teams to analyze and resolve potential compliance issues and respond to changes in regulatory requirements. Serve as a subject matter and technical expert on compliance issues. Respond quickly, practically and effectively to questions and concerns from stakeholders across the enterprise.
Continuously develop understanding of new rules and regulations. Remain current on relevant regulatory developments and best practices impacting the financial services industry, including applicable rules and regulations issued by OCC, SEC, FINCEN and DOL and various international agencies.
Participate in industry organizations and events. Assist in the preparation of reports and presentations by the Chief Compliance Officer. This position will have the opportunity for continuing education and for participation in industry organizations and events.
Firm-building. Active engagement in department-specific and firm-wide initiatives in order to expand capabilities, create solutions to unmet business needs, improve client experience, or develop more efficient processes. Ability and willingness to contribute to the advancement of team, office and business capabilities. Other duties as required by the position.
Bachelor’s and J. D. degree required. Other advanced degrees, certifications or licenses helpful.
Minimum eight (8) years of relevant experience in financial services and four (4) years of major law firm experience required; wealth management experience as related to trust or banking strongly preferred.
Experience with regulators and examinations as well as conducting internal investigations.
Experience with various customer management or surveillance systems, including development of exception reporting strongly preferred.
Strong writing and presentation skills, including the ability to lead training and interact effectively with business units.Demonstrated ability to lead projects and to accomplish business objectives.
Experience with one or more of AML, ERISA, alternative assets, cybersecurity, privacy and international investment management strongly preferred.
Must have solid, practical judgment in business matters, including with respect to risk assessment and compliance issues.
Execellent organizational skills, analytical skills and attention to detail.
Ability to travel on occasion, as needed.
Glenmede is an Equal Opportunity Employer and Prohibits Discrimination and Harassment of Any Kind: Glenmede is committed to the principle of equal employment opportunity for all employees and to providing employees with a work environment free of discrimination and harassment. All employment decisions at Glenmede are based on business needs, job requirements and individual qualifications, without regard to race, color, religion or belief, national, social or ethnic origin, age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, family medical history (including pregnancy) or genetic information, family or parental status, or any other status protected by the laws or regulations in the locations where we operate. Glenmede will not tolerate discrimination or harassment based on any of these characteristics.