We are seeking a knowledgeable Regulation W Compliance Officer to oversee affiliate‑transaction compliance across the bank and its related entities, including our investment adviser, broker‑dealer, trust company, and other affiliated businesses
Job Summary
We are seeking a knowledgeable Regulation W Compliance Officer to oversee affiliate‑transaction compliance across the bank and its related entities, including our investment adviser, broker‑dealer, trust company, and other affiliated businesses.
This role ensures adherence to Sections 23A and 23B of the Federal Reserve Act and supports strong enterprise‑wide governance of intercompany relationships and transactions.
The position requires partnering with Legal, Finance, Treasury, Operations, and business leaders to review new products, intercompany agreements, and service arrangements for Regulation W implications.
Matching Summary
We are seeking a knowledgeable Regulation W Compliance Officer to oversee affiliate‑transaction compliance across the bank and its related entities, including our investment adviser, broker‑dealer, trust company, and other affiliated businesses.
Salary
Base: $107,500.00 - $179,100.00 Annual (USD); Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Regulation W compliance framework
affiliate transaction review and approval
intercompany relationship governance
risk assessments and monitoring
collaboration with legal and finance teams
Nice-to-have
strong analytical and problem-solving skills
effective communication and stakeholder influence
training and guidance delivery
support for organizational changes and new entity formation
Key Requirements
Minimum 12 years combined education and/or work experience
At least 8 years compliance, legal, or risk experience in financial services
Strong knowledge of Regulation W
Experience with affiliated entities such as investment advisers or broker-dealers