Senior Compliance Consultant Asset Management – Global Fiduciary Risk Oversight (hybrid – See Job Description For Listed Locations)

M&T Bank

New York, NY, United States
Base: $109,300.00 - $182,100.00; bonus/equity: not...
On-site
Fiduciary standards
Regulatory and compliance risk
Risk and control environment assessment
Provide compliance oversight, support and guidance for Asset Management products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations

Job Summary

  • Provide compliance oversight, support and guidance for Asset Management products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations.
  • Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls.
  • Interact with and assist in oversight of state, federal, domestic and possibly international regulator relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New York, and/or the State of Delaware, as applicable.

Matching Summary

Provide compliance oversight, support and guidance for Asset Management products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations.

Salary

Base: $109,300.00 - $182,100.00; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Fiduciary standards
  • Regulatory and compliance risk
  • Risk and control environment assessment
  • Employee conduct and supervisory framework
  • Regulatory development implementation
  • Second Line of Defense Credible Challenge
  • Asset Management products and personnel oversight

Nice-to-have

  • Promote an environment that values diversity
  • Critical thinking and problem-solving skills

Key Requirements

  • 6 years’ experience in compliance, legal, audit or risk
  • Bachelor's Degree in related field
  • Working knowledge of relevant regulations
  • Experience providing guidance and credible challenge

Work Rights

Not specified

Tailored Resume

Cover Letter