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COMPLIANCE SPECIALIST (WRITTEN SUPERVISORY PROCEDURES) WSP - BROKERAGE - DOWNTOWN
Job Field: Legal Jobs
Location: LOS ANGELES, CA
Salary: $Not stated
Location: LOS ANGELES, CA
Salary: $Not stated
JOB SUMMARY:
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<tr><td valign="top" width="450"><b>Title: COMPLIANCE SPECIALIST (Written Supervisory Procedures) WSP - Brokerage - Downtown LALocation: CALIFORNIA-LOS ANGELES%3CDIV%3E%0A%3CDIV%3EHeadquartered in San Francisco, UnionBanCal Corporation is a financial holding company with assets of %2488.2 billion at September 30, 2012. Its primary subsidiary, Union Bank, N.A., is a full service commercial bank providing an array of financial services to individuals, small businesses, middle-market companies, and major corporations. The bank operated 402 branches in California, Washington, Oregon, Texas, Illinois, and New York as well as two international offices, on September 30, 2012. UnionBanCal Corporation is a wholly-owned subsidiary of The Bank of Tokyo-Mitsubishi UFJ, Ltd., which is a subsidiary of Mitsubishi UFJ Financial Group, Inc. Union Bank is a proud member of the Mitsubishi UFJ Financial Group (MUFG, NYSE:MTU), one of the world%27s largest financial organizations. Visit %3CA HREF=%22http://www.unionbank.com/%22%3Ewww.unionbank.com%3C/A%3E for more information.%3C/DIV%3E%0A%3CDIV%3E%26nbsp;%3C/DIV%3E%0AJob Summary:%3C/DIV%3E%0A%3CDIV%3E%3CBR/%3E%0AThis position reports to the Senior Compliance Specialist WSP/Projects and has dotted line reporting to the Retail Compliance Manger.%26nbsp; The Written Supervisory Procedures Compliance Specialist is responsible for ensuring the Firm has appropriate policies and procedures in place to meet regulatory requirements and effectively manage the activities of the Broker-Dealer.%3CBR/%3E%0A%26nbsp;%3CBR/%3E%0AMajor Responsibilities:%3C/DIV%3E%0A%3CDIV%3E%3CBR/%3E%0A60%25%26nbsp;%26nbsp; Pursuant to NASD Rule 3012 and FINRA Rule 3130, establish, maintain, review, test and modify compliance policies and procedures for the Firm%26#39;s Broker-Dealer Compliance and Written Supervisory Procedures (WSP) Manuals.%26nbsp; Coordinate and facilitate the Firm%26#39;s quarterly Policy Committee meetings.%26nbsp; 50%Maintain and update the WSP Matrix Database to capture and document annual 3012 testing.%26nbsp; Research and provide recommendations to management on methods of reconciliation for issues identified during testing along with drafting policies to address such issues.%26nbsp; Conduct annual gap analysis on regulations applicable to current Firm business against the WSP Matrix Database.%26nbsp; Maintain and enhance the Firm%26#39;s Manuals upon issuance of new policies, regulations, or as required by any other event that would necessitate such action.%26nbsp;%3C/DIV%3E%0A%3CDIV%3E%26nbsp;%3C/DIV%3E%0A%3CDIV%3E20%25%26nbsp;%26nbsp; Research and provide accurate interpretations of regulations, industry practice, etc and propose policy accordingly.%26nbsp; Create and/or edit compliance communications (Supervisory Alerts, Compliance Alerts, and Compliance Bulletins) to concisely convey new/revised policies to field and back-office.%26nbsp; Distribute, post, and incorporate policies delineated in the communications into the appropriate Manuals.%26nbsp;%3C/DIV%3E%0A%3CDIV%3E%26nbsp;%3C/DIV%3E%0A%3CDIV%3E20%25%26nbsp;%26nbsp; Provide compliance advice/guidance to RRs, Managers and back-office staff as it relates to amended policies and procedures as well as regulatory developments that may impact UBIS.%26nbsp; Provide support for regulatory and internal audit requests.%26nbsp; Provide compliance expertise for other projects as required.%26nbsp; Assist with annual branch inspections and/or special projects as needed.%3CBR/%3E%0A%3C/DIV%3E%3CDIV%3EAdditional Information:%3C/DIV%3E%0A%3CDIV%3E%3CBR/%3E%0AMust have working knowledge of securities and insurance rules and regulations, including FINRA, SEC, MSRB and DOI.%26nbsp; Must be well versed at interpreting regulatory requirements and writing policies and procedures.%26nbsp; Must have well developed analytical and project management skills, strong written and verbal communication skills, and be well organized with the ability to handle multiple tasks and multiple priorities simultaneously.
</tr>
<tr><td valign="top" width="450"><b>Title: COMPLIANCE SPECIALIST (Written Supervisory Procedures) WSP - Brokerage - Downtown LALocation: CALIFORNIA-LOS ANGELES%3CDIV%3E%0A%3CDIV%3EHeadquartered in San Francisco, UnionBanCal Corporation is a financial holding company with assets of %2488.2 billion at September 30, 2012. Its primary subsidiary, Union Bank, N.A., is a full service commercial bank providing an array of financial services to individuals, small businesses, middle-market companies, and major corporations. The bank operated 402 branches in California, Washington, Oregon, Texas, Illinois, and New York as well as two international offices, on September 30, 2012. UnionBanCal Corporation is a wholly-owned subsidiary of The Bank of Tokyo-Mitsubishi UFJ, Ltd., which is a subsidiary of Mitsubishi UFJ Financial Group, Inc. Union Bank is a proud member of the Mitsubishi UFJ Financial Group (MUFG, NYSE:MTU), one of the world%27s largest financial organizations. Visit %3CA HREF=%22http://www.unionbank.com/%22%3Ewww.unionbank.com%3C/A%3E for more information.%3C/DIV%3E%0A%3CDIV%3E%26nbsp;%3C/DIV%3E%0AJob Summary:%3C/DIV%3E%0A%3CDIV%3E%3CBR/%3E%0AThis position reports to the Senior Compliance Specialist WSP/Projects and has dotted line reporting to the Retail Compliance Manger.%26nbsp; The Written Supervisory Procedures Compliance Specialist is responsible for ensuring the Firm has appropriate policies and procedures in place to meet regulatory requirements and effectively manage the activities of the Broker-Dealer.%3CBR/%3E%0A%26nbsp;%3CBR/%3E%0AMajor Responsibilities:%3C/DIV%3E%0A%3CDIV%3E%3CBR/%3E%0A60%25%26nbsp;%26nbsp; Pursuant to NASD Rule 3012 and FINRA Rule 3130, establish, maintain, review, test and modify compliance policies and procedures for the Firm%26#39;s Broker-Dealer Compliance and Written Supervisory Procedures (WSP) Manuals.%26nbsp; Coordinate and facilitate the Firm%26#39;s quarterly Policy Committee meetings.%26nbsp; 50%Maintain and update the WSP Matrix Database to capture and document annual 3012 testing.%26nbsp; Research and provide recommendations to management on methods of reconciliation for issues identified during testing along with drafting policies to address such issues.%26nbsp; Conduct annual gap analysis on regulations applicable to current Firm business against the WSP Matrix Database.%26nbsp; Maintain and enhance the Firm%26#39;s Manuals upon issuance of new policies, regulations, or as required by any other event that would necessitate such action.%26nbsp;%3C/DIV%3E%0A%3CDIV%3E%26nbsp;%3C/DIV%3E%0A%3CDIV%3E20%25%26nbsp;%26nbsp; Research and provide accurate interpretations of regulations, industry practice, etc and propose policy accordingly.%26nbsp; Create and/or edit compliance communications (Supervisory Alerts, Compliance Alerts, and Compliance Bulletins) to concisely convey new/revised policies to field and back-office.%26nbsp; Distribute, post, and incorporate policies delineated in the communications into the appropriate Manuals.%26nbsp;%3C/DIV%3E%0A%3CDIV%3E%26nbsp;%3C/DIV%3E%0A%3CDIV%3E20%25%26nbsp;%26nbsp; Provide compliance advice/guidance to RRs, Managers and back-office staff as it relates to amended policies and procedures as well as regulatory developments that may impact UBIS.%26nbsp; Provide support for regulatory and internal audit requests.%26nbsp; Provide compliance expertise for other projects as required.%26nbsp; Assist with annual branch inspections and/or special projects as needed.%3CBR/%3E%0A%3C/DIV%3E%3CDIV%3EAdditional Information:%3C/DIV%3E%0A%3CDIV%3E%3CBR/%3E%0AMust have working knowledge of securities and insurance rules and regulations, including FINRA, SEC, MSRB and DOI.%26nbsp; Must be well versed at interpreting regulatory requirements and writing policies and procedures.%26nbsp; Must have well developed analytical and project management skills, strong written and verbal communication skills, and be well organized with the ability to handle multiple tasks and multiple priorities simultaneously.
KEY REQUIREMENTS:
Not stated
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