Overview:
Lead and manage the broker-dealer compliance team. Responsible for ensuring the broker dealer operates in compliance with all relevant laws, regulations, and internal policies. Oversee the development and implementation of compliance programs, monitor regulatory changes, and provide guidance to senior management on compliance matters.
Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer.
This position has flexibility on location.
Primary Responsibilities:
Scope of Responsibilities:
M&T Securities, Inc. (MTS), a wholly owned subsidiary of M&T Bank Corporation provides institutional broker dealer services focused on supporting corporate clients through such offerings as institutional brokerage and securities underwriting.
Position will lead and manage the broker-dealer compliance team responsible for ensuring the broker dealer operates in compliance with all relevant laws, regulations, and internal policies. Will oversee the development and implementation of compliance programs, monitor regulatory changes, and provide guidance to senior management on compliance matters.
Supervisory/Managerial Responsibilities:
Broker Dealer Compliance team.
Education and Experience Required:
Education and Experience Preferred:
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $137,977.22 - $229,962.03 Annual (USD). The successful candidates particular combination of knowledge, skills, and experience will inform their specific compensation.
Location: Boston, Massachusetts, United States of America
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