Manager Distribution Compliance

Profile

:,ActualValueFromSolar:null},{QuestionName:What Youu0027ll Do,AnswerValue:This role will be responsible for Distribution compliance for UMB Distribution Services. They will oversee a team of compliance analysts and work closely with Distribution Operations. This person will report to the Director Client Services u0026 Distribution Services. u003cbr/u003eu003cbr/u003e- Understand role of Distributor and required oversightu003cbr/u003e- Develops and delivers required reporting documentation to business leadersu003cbr/u003e- Responsible for oversight of day-to-day compliance activities related to UMB Distribution Servicesu003cbr/u003e- Keep informed of Social Media policiesu003cbr/u003e- Well connected to industry peersu003cbr/u003e- Hire, train, coach, develop and evaluate a professional staff of compliance analystsu003cbr/u003e- Oversee and manage the review and approval of all related marketing materialsu003cbr/u003e- Serve as CCO for the broker dealer and manger dealer licensing functionu003cbr/u003e- Maintain and administer the code of ethics and continuing education program for all licensed individualsu003cbr/u003e- Ensure timely review of registered representative emailsu003cbr/u003e- Other duties as assigned,VerityZone:jobdescription,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Requisition Number,AnswerValue:12000BR,VerityZone:autoreq,QuestionType:text,ActualValueFromSolar:null},{QuestionName:At UMB,AnswerValue:We strive to deliver u003ciu003etheu003c/iu003e unparalleled customer experience, and show customers they can count on more from UMB. The same is true for our associates. You can count on more benefits, more training, more support, and more opportunity! u003cbru003eu003cbru003eWhat youu0027ll get: u003cbru003eu003cbu003eUnique Benefit Programs : u003c/bu003e We offer a great benefits package including several unique programs like an incentive-based wellness program, parental leave, adoption assistance and health care for you, your spouse or domestic partner, your dependents and even your pets!!u003cbru003eu003cbu003eProfessional Development: u003c/bu003eWe provide our associates with the tools they need to support their career goals - including training, tuition reimbursement and career guidance.u003cbru003eu003cbu003eCommunity Involvement:u003c/bu003e Giving back is a big part of who we are! We support several great causes throughout the UMB footprint. We even offer Volunteer Time Off, which allows associates to dedicate 16 hours a year to a worthy cause of their choice.u003cbru003eu003cbu003eCulture of Diversity and Inclusion: u003c/bu003eWe are committed to building a strong UMB by hiring talented, high-performing associates with diverse backgrounds. Maybe you simply want to work at a company where you have a voice and an opportunity to share your unique ideas. u003cbru003eu003cbru003ePlease visit us at u003ca href=****target=_blank\u003ecareers.umb.comu003c/au003e to view a list of all available opportunities. UMB is an Equal Opportunity Employer. Principals only. No 3rd parties or agencies, please.,VerityZone:formtext38,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Additional Information,AnswerValue:#LI-CW1,VerityZone:formtext39,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Work Schedule,AnswerValue:Monday-Friday: 8:00am-5:00pm,VerityZone:formtext12,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Division Name,AnswerValue:Institutional Banking ,VerityZone:formtext8,QuestionType:single-select,ActualValueFromSolar:null},{QuestionName:City,AnswerValue:Milwaukee,VerityZone:formtext13,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Preferred Requirements,AnswerValue:- Seven (7) years financial services experienceu003cbru003e- Seven (7) years with FINRA/SEC and audit experienceu003cbru003e- Five (5) years supervisory / leadership experience,VerityZone:formtext34,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Job Title,AnswerValue:Manager, Distribution Compliance,VerityZone:formtext29,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Address,AnswerValue:235 W Galena Street,VerityZone:formtext31,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Shift,AnswerValue:Full Time ,VerityZone:formtext5,QuestionType:single-select,ActualValueFromSolar:null},{QuestionName:State,AnswerValue:WI,VerityZone:formtext28,QuestionType:text,ActualValueFromSolar:null},{QuestionName:In this Role, You will Need,AnswerValue:- Expert ability to analyze risks and recommend controls to mitigate regulatory complianceu003cbru003e- Demonstrated knowledge of the financial service industry in a regulatory environmentu003cbru003e- High attention to detailu003cbru003e- Demonstrated ability to work consistently and meet deadlinesu003cbru003e- Excellent interpersonal and communication skillsu003cbru003e- Demonstrated initiative both independently and within a teamu003cbru003e- Demonstrated ability to interpret laws and regulations and communicate this information to management and line personnelu003cbru003e- Demonstrated ability to manage, develop and motive a teamu003cbru003e- Demonstrates professional communication skills including presentationsu003cbru003e- Excellent written and oral communication skillsu003cbru003e- Demonstrated ability to manage priorities, multi-task, delegate and work in a deadline-driven and changing environment. u003cbru003e- Demonstrated experience and familiarity with FINRA/SEC and Audit Processu003cbru003e- Fully understands all functions of the Broker Dealer (33,34,40 Act)u003cbru003e- Knowledge and experience with various structures; Private Funds/Closed End Funds/ETFs,VerityZone:formtext33,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Who You Are,AnswerValue:- Bacheloru0027s Degree. Significant and directly related experience may be considered in lieu of degreeu003cbru003e- Five (5) years financial services experienceu003cbru003e- Five (5) yearsu0027 experience with FINRA/SEC and audit process. u003cbru003e- Series 7 and 24 u003cbru003e licensed. u003cbru003e- Three (3) years supervisory and leadership experience,VerityZone:formtext44,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Additional Location(s),AnswerValue:Denver, CO, Kansas City, MO, Chicago, IL, New York City, NY,VerityZone:formtext73,QuestionType:text,ActualValueFromSolar:null}],GQId:1761,isGQResponsive:true,isActive:true,isSocialReferralJobRestricted:false,localeId:1033,AutoOptionalReqId:12000BR,Title:Manager, DS Compliance,JobSiteId:5319,Link:****{Responsive_AdvancedCSS: /*#N#GUIDELINES#N##N#• Enter CSS here.#N##N#• Please take care not to compromise accessibility including color contrast.#N##N#• Please test all window widths so that all responsive break-points remain in tact.#N##N#• Please refer to attributes of the body tag to limit the scope of your rules to a single workflow, or else be sure to check each individual workflow.#N#*/#N##N#input[type=text],input[type=password] { #N#background-color: #ffffff; 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