Compliance Manager – Market, Liquidity, & Wealth - Salt Lake City

Zions Bancorporation is one of the nation’s premier financial services companies operating as a collection of great banks under local brands and management teams in high-growth western markets. Zions is regularly recognized by American Banker magazine as having a top banking team in its list of “The Most Powerful Women in Banking.” Our customers consistently vote us as the best bank in our local markets. We value our employees, and we are committed to search out, recognize and create fulfilling opportunities for outstanding people within our organization, rewarding them for their contributions to our success. We recognize that banking is a “local” business, and that to be successful, we must have very strong ties to the communities we serve and strong relationships with our customers.

With benefits starting on day one, 12 bank holidays, profit sharing and company-matched 401(k) contributions, Zions is dedicated to being an employer of choice in our communities. At Zions, the possibilities are endless. You bring the talent; we bring the opportunity.

We are currently seeking a Risk and Compliance Manager within the Market, Liquidity, Wealth Risk & Compliance Team.

Description

Market, Liquidity, and Wealth Risk Management (MLW) Team members work closely with key executives to monitor and manage some of the most significant (and expanding) processes associated with the financial services industry. The MLW team provides second line oversight to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer, Capital Markets and Public Finance groups.

Responsibilities

The MLW Risk and Compliance manager is responsible for the management and execution of the compliance oversight and operational risk programs for specialty business lines of Zions Bancorporation.  Along with being an advisor to front line management regarding regulatory requirements and risk management practices.   The Compliance Manager will lead and oversee the firm’s compliance programs for its FINRA-registered broker-dealer, bank broker dealer, and capital markets activities. This role is responsible for managing a team of compliance officers, ensuring adherence to regulatory requirements, and maintaining a robust compliance framework that supports the firm’s risk management objectives. Other responsibilities may include:

• Manage and mentor compliance officers, fostering a culture of accountability and continuous improvement.

• Oversee execution of the risk and compliance program across all assigned business lines.

• Review, analyze, and evaluate business processes, procedures, and controls to for compliance with regulatory requirements and written supervisory procedures.

• Maintain and update Written Supervisory Procedures (WSPs) in alignment with FINRA, SEC, and other applicable regulations.

• Manage ongoing compliance governance activities including oversight, monitoring, and reporting processes, including outside business activities, personal securities accounts, and political contribution disclosure.

• Provide regular risk and compliance reports and updates to senior management and applicable risk committees.

   

Qualifications

• Requires a bachelor’s degree in business, finance or a related field 

• 8+ experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly related experience. 

• FINRA Series 7, 79, 53, or 24 strongly preferred. 

• Employee will be required to obtain required FINRA licenses within 12 months of employment. 

• Prior management or compliance leadership experience required. 

• Experience in brokerage, swaps, foreign exchange, or commodities a plus.

• Knowledge of FINRA, SEC, and/or MSRB regulations and application of regulatory requirements.

• Strong analytical skills with the ability to bring together large amounts of data into succinct reports.

• Excellent verbal and written communication skills and ability to present information to regulators and senior management.

• Strong attention to detail and organizational skills. 

• Ability manage multiple priorities and think independently.

• Experience with compliance technology platforms and data analytics.

Benefits:  

• Medical, Dental and Vision Insurance - START DAY ONE! 

• Life and Disability Insurance, Paid Parental Leave and Adoption Assistance

• Health Savings (HSA), Flexible Spending (FSA) and dependent care accounts

• Paid Training, Paid Time Off (PTO) and 11 Paid Federal Holidays

• 401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience

• Mental health benefits including coaching and therapy sessions.

• Tuition Reimbursement for qualifying employees

• Employee Ambassador preferred banking products