Regulation W Compliance Officer (hybrid - See Job Description For Listed Locations)

MTB (M&T Bank)

Buffalo, New York, United States of America
Base: $107,500.00 - $179,100.00 annual (usd); bonu...
Hybrid
Regulation w compliance expertise
Sections 23a and 23b knowledge
Affiliate transaction review experience
This role oversees affiliate-transaction compliance across the bank and its related entities including investment advisers and broker-dealers

Job Summary

  • This role oversees affiliate-transaction compliance across the bank and its related entities including investment advisers and broker-dealers.
  • The incumbent ensures adherence to Sections 23A and 23B of the Federal Reserve Act while supporting enterprise-wide governance.
  • Candidates must serve as the primary subject-matter expert during regulatory exams and internal audits.

Matching Summary

This role oversees affiliate-transaction compliance across the bank and its related entities including investment advisers and broker-dealers.

Salary

Base: $107,500.00 - $179,100.00 Annual (USD); Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Regulation W compliance expertise
  • Sections 23A and 23B knowledge
  • Affiliate transaction review experience
  • Risk assessment and policy development
  • Intercompany relationship governance

Nice-to-have

  • Strong analytical problem-solving skills
  • Effective stakeholder communication
  • Cross-functional collaboration abilities
  • Subject matter expert presence
  • Training and guidance delivery

Key Requirements

  • 12 years combined education/experience
  • 8 years in compliance or legal
  • Experience with affiliated entities
  • Juris Doctor or Master's degree preferred

Work Rights

Not specified

Tailored Resume

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