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RIA Compliance Officer

Protective Life Insurance Birmingham ,AL

Post Date 8/2/2017 Title RIA Compliance Officer Job Type Full Time Job Category Investments City Birmingham State AL Description RIA Compliance Officer This candidate will be part of the ProEquities Compliance Department’s

Posted on September 20, 2017

Post Date 8/2/2017 Title RIA Compliance Officer Job Type Full Time Job Category Investments City Birmingham State AL Description RIA Compliance Officer This candidate will be part of the ProEquities Compliance Department’s RIA team with responsibility for understanding and advising of the securities industry, compliance rules and regulations, product suitability, and firm policies and procedures. Essential Job Duties & Responsibilities • Develop and maintain surveillance programs related to market conduct and trading issues. Investigate potential policy violations by associated persons and recommend appropriate level of action where violations are noted • Provide direction and guidance to business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, and permissible activities under firm policy and the Investment Advisers Act of 1940 • Maintain Form ADV Parts 1 and 2 including advisory and wrap fee brochures. Prepare annual amendment and interim ADV updates and filings. Oversee ADV Part 2B procedures, delivery, and maintenance of advisor bios • Develop, write or update Policies and Procedures, Code of Ethics and overall compliance program. Identify, assess and effectively communicate new or changing regulatory issues and market trends • Collaborate with the investment management team regarding new business, marketing, operations, and technology to create and refine policies and procedures in areas such as best execution, share class analysis, wrap fee programs, due diligence, performance reporting, and advertising • Lead other compliance projects as requested. Qualifications • Bachelors degree, with minimum of 3-5 years experience in RIA Compliance Working knowledge of the Advisers Act, SEC rules and regulations, and no-action letter guidance for RIAs, as well as familiarity with FINRA and Department of Labor regulations affecting RIAs. Broad knowledge of securities products, investment advisory services and arrangements, and related regulatory requirements • Familiarity with hybrid RIAs • Understanding of fiduciary responsibilities and appropriate disclosure of conflicts of interest. • Ability to identify issues, think proactively, and begin resolving them without waiting to be told to do so • Ability to operate with minimal supervision if the circumstances dictate along with the ability to keep CCO informed of your projects and workload • Series 7, 24 and 66 required. (Successful candidates who do not possess a Series 7, 24 and/or 65/66 registration at time of hire will have six (6) months to obtain registrations).

Sox/Pci Compliance Analyst

Seneca Resources Birmingham ,Alabama

About Seneca Resources: Seneca Resources is client driven provider of strategic Information Technology consulting services and Workforce Solutions to government and industry. Seneca Resources is a

Posted on September 20, 2017

Director Compliance Assurance

Bbva Compass BIRMINGHAM ,AL

Overview At BBVA, we’re working to make banking better for everyone. That’s where you come in. We’re looking for smart, team-oriented people who want to be part of a world-class workforce that gives people the tools they

Posted on September 20, 2017

**Overview** At BBVA, we’re working to make banking better for everyone. That’s where you come in. We’re looking for smart, team-oriented people who want to be part of a world-class workforce that gives people the tools they need to meet their financial goals, all while delivering an outstanding client experience. Learn more below. **Responsibilities** The Director of US Compliance Assurance has responsibility for providing independent assurance regarding the adequacy and effectiveness of the compliance and control processes, specifically focusing on federal regulatory compliance risk management for BBVA’s US operations. The responsibilities include the oversight, development, implementation, on‐going enhancements and execution of an enterprise‐wide compliance risk assessment, testing program and monitoring program. As part of this role’s responsibility for the Compliance risk management function, the position will perform internal control support for the US Compliance Team, including support of the various compliance units in the tracking and reporting of material compliance risk issues, and testing of controls, both SOX and non-SOX. **PRIMARY RESPONSIBILITIES** **Compliance Risk Management** + Manage and implement annual regulatory compliance risk assessment process for the US operations of BBVA, including periodic updates in the risk assessment as determined to be appropriate + Collaborate with Compliance SMEs to maintain and execute the regulatory risk assessments for federal regulations applicable to the organization’s operations. + Develop and maintain appropriate policies regarding the conduct of the risk assessment process + Manage testing of key compliance controls (SOX and non-SOX) to ensure critical operational risks (assigned to Compliance) are mitigated and to ensure compliance with identified laws and regulations. + Responsible for maintaining US Regulatory Compliance Inventory through coordination with Compliance SMEs, Regulatory Strategies team, and Legal. + Implement, manage and maintain Compliance GRC (Governance, Risk and Compliance) tool for U.S. + Administration of documentation of material compliance risks and the controls designed to prevent, eliminate or mitigate losses. + Reporting status of Compliance risk profile to members of management and appropriate committees. + Serve as the Control Specialist for US Compliance to escalate compliance issues for consideration by Corporate Assurance Working Group and to monitor new products and services process and coordinate required compliance risk and control analysis. + Serve as Corporate Secretary for the US Compliance Risk Oversight Committee. **Compliance Testing** + Develop and implement risk-based compliance testing program. + Develop and maintain appropriate policies regarding the conduct of the testing program + Maintain communication of testing process and results with all levels of management + Report and escalate identified issues to CCO, Compliance SMEs and business unit management + Monitor, track and report remediation activities of identified issues + Analyze, identify, track and report interrelated risks based on compliance testing results including trends and systemic issues + Reporting status of Compliance testing program to members of management and appropriate committees **Compliance Monitoring** + Develop and implement risk-based compliance monitoring program. + Develop and maintain appropriate policies and documentation regarding the maintenance of the monitoring program + Collaborate with and assist FLOD in the identification and documentation of relevant monitoring activities + Maintain communication of monitoring process and results with all levels of management + Report and escalate identified issues to CCO, Compliance SMEs and business unit management + Reporting status of Compliance monitoring program to members of management and appropriate committees **Qualifications** + Significant knowledge of, and at least 10 years of experience in implementing, financial institution compliance risk management programs, including structuring and conduct of risk assessments, development of compliance testing programs and plans, and development and implementation of compliance monitoring programs + Effective management skills and at least 7 years of prior management experience + Excellent written and oral communication to maintain an effective advisory and control relationship with all levels of management and support units + Effective ability to communicate directions and goals and motivate actions to completion + Ability to work effectively with others in non-hierarchical relationships + Superior time management and organizational skills + Skilled in use of Microsoft Office programs and ability to learn and use additional computer applications as needed + Comfortable handling multiple assignments and tasks in parallel and meeting deadlines + Bachelor’s degree or higher, preferably in the areas of Finance or Accounting + Compliance certifications preferred **Job ID** _2016-99594_ **Site Name** _AL-BIRMINGHAM-CORPORATE HEADQUARTERS_ **Category** _Corporate Staff Units_ **Work Location** _US-AL-BIRMINGHAM_ **FLSA Status** _EXEMPT_ **Type** _FULL TIME_ **EOE Statement** _Equal Opportunity Employer - Minority/Female/Disability/Veterans_

Dir Open Platform Compliance

Bbva Compass BIRMINGHAM ,AL

Overview At BBVA, we are working to make banking better for everyone. That is where you come in. We are looking for smart, team oriented people who want to be part of a first-class workforce that gives people the tools

Posted on September 20, 2017

**Overview** At BBVA, we are working to make banking better for everyone. That is where you come in. We are looking for smart, team oriented people who want to be part of a first-class workforce that gives people the tools they need to meet their financial goals, all while delivering an outstanding client experience. Learn more below. **Responsibilities** **PURPOSE OF POSITION** The U.S. Compliance Director, Financial Technology and Innovation is responsible for providing oversight and direction regarding compliance matters and the firm’s U.S. Compliance Risk Management Program, as affecting the firm’s financial technology and innovation development activities. These activities are primarily managed through local U.S. units, including New Digital Business, Open Platform, and New Venture Creation, of Customer Solutions, which is centrally managed in Madrid, Spain. **PRIMARY RESPONSIBILITIES**  Develop and maintain close relationships and communications with leadership and key operational stakeholders among the Customer Solutions teams Acquire and maintain detailed familiarity with all relevant business strategies and plans Maintain current information-sharing with and involvement of relevant subject matter experts among the US Compliance teams Develop and lead the implementation of, in collaboration with subject matter experts, compliance risk management strategies, frameworks, and approaches for U.S. FinTech activities, consistent with the overall US Compliance Risk Management Program Maintain and employ working knowledge of regulatory compliance requirements associated with FinTech activities and business strategies Ensure that current and emerging regulatory requirements are known to FinTech personnel, including through regular meetings and communications, as well as formal training Support and ensure compliance risk assessments are performed of the FinTech businesses and activities at appropriate times in their business development cycles Advise and support lines of business in developing relevant compliance risk management documentation for FinTech activities Report and escalate compliance risk issues to the Chief Compliance Officer, Compliance subject matter experts, and senior management, as appropriate Advise and aid in the development and implementation of compliance risk management policies and procedures for FinTech activities Advise, coordinate and ensure appropriate monitoring activities are implemented for FinTech businesses/operations and MIS is shared with relevant US Compliance teams Provide current information to, and collaborate with, Compliance Testing to ensure that Compliance Testing is aware of compliance risks and issues in the development of testing plans Interact and communicate with regulatory and supervisory personnel **Qualifications** **QUALIFICATIONS** At least 8 years of experience in a financial institution setting, preferably in a senior or executive management role in a control function, including Compliance, Operational Risk, Internal Control or Audit Effective management skills and at least 5 years of prior management experience 2 Excellent written and oral communication to maintain an effective advisory and control relationship with all levels of management and support units Effective ability to communicate directions and goals and motivate actions to completion Ability to work effectively with others in non-hierarchical relationships Ability to interact effectively with executive level management Superior time management and organizational skills Skilled in use of Microsoft Office programs and ability to learn and use additional computer applications as needed Comfortable handling multiple assignments and tasks in parallel and meeting deadlines Bachelor’s degree or higher, preferably in the areas of Finance or Accounting Compliance certifications preferred **Job ID** _2017-107741_ **Site Name** _AL-BIRMINGHAM-CORPORATE HEADQUARTERS_ **Category** _CORPORATE RISK_ **Work Location** _US-AL-BIRMINGHAM_ **FLSA Status** _EXEMPT_ **Type** _FULL TIME_ **EOE Statement** _Equal Opportunity Employer - Minority/Female/Disability/Veterans._

Compliance Specialist

Regions Bank Birmingham ,AL

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to

Posted on September 19, 2017

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice. Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored for a set period of time. You may review, modify, or update your information by visiting and logging into the careers section of the system. **Job Description:** At Regions Bank, the Compliance Specialist will ensure that business units and support functions are in compliance with statutory and regulatory requirements as well as the organization's policies and procedures. **Primary Responsibilities** + Assists with monitoring and review activities to detect compliance problems and with documentation + Assists in gathering information requested by regulatory agencies This position is exempt from timekeeping requirements under the Fair Labor Standards act and is not eligible for overtime pay. **Requirements** + Bachelor's degree + Five (5) years related experience Skills and Competencies + Proficiency in Microsoft Office Suite required + Excellent written and verbal communication skills + Detail oriented + Able to work independently + Compliance monitoring and/or audit skills **Preferences** + Prefer either direct related fair lending experience or compliance or quality assurance/quality control experience + Experience in compliance monitoring and/or auditing + Proficiency in MS Excel, Word, Access and PowerPoint + Additional Job DescriptionAdditional Job Description **Location:** Birmingham, Alabama EEO/AA/Minorities/Females/Disabled/Veterans **About Regions** At Regions, our culture focuses on five core values that are a commitment to how we will do business: + Put people first + Do what is right + Focus on your customer + Reach higher + Enjoy life Through these values, our mission to make life better drives our desire to improve and make a positive difference in the communities where we work and live through financial investments and volunteering. EEO/AA/Minorities/Females/Disabled/Veterans

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