2 jobs found

Job description ABOUT THE JOB:   The Senior Associate–Central Supervision Principal reports to the Head of CSG and serves as the Designated Principal for a group of KIS registered representatives on behalf of the bank channel broker-dealer. The Central Supervision Principal is responsible for the principal supervision and surveillance of all bank brokerage, advisory and insurance sales activities.     This includes, but is not limited to, new account opening, investment and insurance suitability review, financial planning oversight, customer complaint research and resolution, periodic reporting, audit responses, sales trend identification, reporting and oversight.   Through collaboration with the KIS Sales Leaders, the Senior Associate-Central Supervision Principal acts as a virtual member of the territories he/she supports, actively communicating and participating in team events and meetings, and ensuring firm policies and...

Job description Responsibilities Compliance Programs: 1. Assist in the administration of the Bank's Consumer Compliance Programs and Compliance Management Program. This includes creating and/or reviewing the Bank’s policies, standards, and procedures based on regulatory changes, internal audits, and/or examinations by regulatory agencies in coordination with the Compliance Officer. 2. Conduct detailed analysis of identified compliance mandates, changes, concerns, issues, internal or external compliance loss events, and self-identified issues and events.   Advise, lead, or provide support to the business on the adherence with compliance requirements related to process improvements, development of internal controls and monitoring, remediation or corrective action of compliance breakdowns, and changes in laws and regulations. Work with the applicable business owners to assign ownership of action plans; review and approve management’s action...