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Consumer & Community Banking - Regional Compliance Officer - Vice President

Req #: 180028494_1
Location: Denver, CO, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
Chase Wealth Management (CWM) is a division of Consumer Banking & Wealth Management (CB&WM), which includes Chase Private Client (CPC) and Chase Investments (CI).  CPC offers personalized banking products and services. CI offers brokerage and investment advisory solutions across 5,500 branches in 23 states.
As a Regional Compliance Officer supporting CWM, the position provides an opportunity to be part of an innovative and talented group of compliance professionals, and requires strong knowledge of the legal and regulatory requirements for broker dealers doing business in the U.S.  The Regional Compliance Officer is dedicated to a specific region of the CB&WM footprint and is responsible for providing proactive advice and guidance with regard to both securities and investment advisory activities. 
  • This position requires a retail broker/dealer background, strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products.
  • Provide regulatory advice and support to Regional Supervisory Management, Market Directors, and Supervisory Managers in the Chase Wealth Management line of business. 
  • Strong knowledge of FINRA and SEC rules and regulations.
  • Conduct on-site branch office and OSJ visits as necessary.
  • Conduct internal investigations as needed. 
  • Provide regulatory advice, communicate firm policy and provide appropriate training to registered representatives regarding the Firm's sales practices, policies and procedures for the suite of Investment Solutions offered by CWM.  
  • Stay abreast of new rules and regulations, evaluating impact to the business and CWM Compliance Program which may result in new policies and procedures, Compliance Bulletins and training.
  • Coordinate efforts with the Regional Compliance Officers nationally on all matters that impact CWM and its Compliance Program, escalating issues and updating management accordingly.
  • Take the lead on specific projects to enhance the CWM Compliance Program and execute on those projects to completion.
  • Work with Supervisory Principals and registered representatives on all regulatory issues and adherence to Firm policies and procedures that may arise, and resolving those matters accordingly which may include drafting of letters of education or other written warnings or admonishments , training or reevaluating policies and procedures.
  • Coordinate with the internal Branch Examination Team after the examination process and following up with Supervisory Management on any outstanding issue or deficiencies.
  • Excellent verbal and written communication, as well as client management, reporting/metrics, interpersonal, organizational, and presentation skills.
  • Perform other functions as requested.
  • 7-10 years' previous experience and/or knowledge of general retail brokerage compliance.
  • A bachelor’s degree required. 
  • Excellent writing and oral communication skills.
  • Proficient in Excel, SharePoint, PowerPoint, Word, and other reporting tools.
  • Excellent interpersonal and communications skills, both orally and in writing
  • Strong analytical skills preferred.
  • Strong presentation skills preferred.
  • Ability to travel within assigned territory.
  • Series 7, 24, 63, 65 or/66 required.  Series 8 or 9/10 a plus. 
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