Apply online at www.zionsbank.com
Job Requisition Number: 173704
Job Family: Legal Counsel
Hours: Full-Time
State/Province: Utah
Location: Zions Bancorporation - HDQTRS
Salt Lake City, Utah 84133-1109
Key Responsibilities:
The Legal Counsel/Compliance Officer duties include the overall development, implementation and management of the compliance program for the brokerage and investment advisory activities of a bank-affiliated financial services firm. Responsible for the identification and interpretation of SEC, NYSE, NASD, state, and other self regulatory organization rules and regulations to ensure the firms policies and procedures comply with applicable laws, regulations, industry guidance and best practice. Responsible for interacting with and providing advice to senior management including the implementation of risk mitigation strategies to enhance regulatory compliance.
Additional Responsibilities:
Candidate Requirements:
JD Degree Required. Preferred licensing to include Series 24, 7, 66. Prior experience managing and supervising comprehensive brokerage and investment advisory compliance program is required (5+ preferred / 3+ required) Experience interacting with regulatory bodies including the handling of regulatory exams or inquiries. Solid business judgment and thorough knowledge of the securities industry is a must. Excellent communication (both written and oral), organizational and follow up skills. Proactive solutions-oriented team player with strong relationship-building ability.