Compliance Manager at Silicon Valley Bank in Salt Lake City, Utah

Job Description:

The Compliance Manager will support day-to-day compliance of the firm's retail and institutional RIA (Registered Investment Advisor) and retail Broker-dealer. The Compliance Manager will work with the Chief Compliance Officer supporting with the ongoing work in the group, contributing to broaden the expertise and resources of the group, in addition to managing special projects. The Compliance Manager must have strong computer skills with the MS Suite of products - Word, Visio, SharePoint, Excel, but will also learn different systems that will be taught to them.

This position will report to the Chief Compliance Officer (CCO) and be responsible for building strong working relationships with stakeholders in affiliated groups such as SVB Asset Management, and SVB Wealth Advisory.

Position Responsibilities:

• Working closely with the Compliance Team and internal stakeholders and partner groups to ensure their compliance programs are active and all tasks are being completed;
• Assist in the management of Compliance Monitoring and Testing Programs;
• Actively manage and conduct on-boarding of new registered persons;
• Manage annual regulatory requirements for registered persons;
• Providing regular reporting and updates to CCO and the business units being supported;
• Maintains familiarity of FINRA & SEC Rules;
• The Compliance Manager will help assist with designing compliance infrastructure and use of systems.
• Identify areas for improvement within Compliance & Operations and design action plans.