Compliance Officer - Group Retirement Plans

Location: Omha, NE, United States
Date Posted: 03-28-2016
Our Client is a growing commercial bank - subsidiary for the World's largest bank - based in Paris, France.

This is a new position created to build compliance programs around retirement products and reports into the Wealth Management group.

Following is a list of what we're looking for in our ideal candidate:
Experience: in the following areas that they'll be able to create our Compliance program around Group Retirement Plans.  Specifically:
o              ERISA Experience (Laws/Regulations)
o              Broker Dealer Compliance Experience
o              Investment Advisory Compliance Experience
.               Location: Any of our offices in Omaha, San Ramon or San Francisco
The Retirement Plan Compliance Officer is responsible for providing effective compliance supervision to the Group Retirement Plan segment of the BWIS broker dealer business. The Group Retirement Plan Compliance Officer reviews and approves retirement plan accounts throughout all geographic territories of BWIS. The Group Retirement Plan Compliance Officer will work with Regional Business Supervisors if they have questions about Group Retirement Plan Business or whether an account is classified as a group retirement plan. Additionally, the Group Retirement Plan Compliance Officer will be responsible for review and approval of new group retirement plans, in conjunction with the Group Retirement Plan Product Manager. Position Accountabilities 1. Responsible for the compliance component of the Group Retirement channel. 2. Monitors and reviews group retirement plan accounts transactions for suitability and completeness. 3. Research relevant ERISA and IRS regulations and provide updates to senior management about how this affects our Group Retirement Plan Business. 4. Review and suggest revisions to BWIS written supervisory procedures and broker dealer compliance manual as they relate to the group retirement plan line of business. 5. Coordinate with BWIS Complaint Officer, BWIS Management and Legal department regarding issues related to any group retirement plan related complaints. 6. Review and assist the product manager in researching new group retirement plan offerings and presenting them to the Product Advisory Committee. 7. Maintain knowledge of all new services added on the BWIS platform in the group retirement plan space. 8. Serve as a resource to Regional Business Supervisors in regards to escalated questions they may have with regard to group retirement plan. 9. Track fulfillment of Financial Advisor obligations to Plans to ensure that all are met on a timely basis. 10. Coordinate with the Group Retirement Plan Product Manager to keep the Group Retirement certification program up-to-date. 11. Assist in the creation of Compliance reports for senior management. 12. Serve as the compliance subject matter expert for Group Retirement Plans for the firm. 13. Perform other duties as assigned or as delegated by management. *LI-NR1 Qualifications Required Education or Equivalent Experience 1. Bachelor’s Degree in related field 2. CRPS certification preferred Required Experience • 4 to 8+ years of broker dealer compliance experience, preference will be given to candidates with group retirement plan experience. • Series 7, 24, 63, and 65 (or Series 66 in lieu of the Series 63 and 65) Field Of Experience Strong knowledge of broker dealer supervision and compliance, specifically as they relate to the group retirement plan business, preferably at a bank affiliated broker/dealer. Advanced ability to read and interpret regulatory statutes and guidance, particularly as they relate to Department of Labor Regulations. Strong Microsoft Excel and PowerPoint Skills Strong communication, inter-personal and writing skills. * Work Location Flexible Compensation
Benefits - Full
Relocation Assistance Available - Yes
Candidate Details
5+ to 7 years experience

Contact information:
Max Populi, LLC
4628 Bayard Street, #207
Pittsburgh, PA 15213-2750
Tel: (412) 567-5279
Fax: (412) 567-5198
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