Senior Compliance Consultant – Capital Markets, Commercial and Investment Banking, Institutional B/D, Asset Management

🕒 April 15

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M&T Bank

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1856

🏦 Banking

💸 Finance

👥 B2C

Banking • Finance • B2C

M&T Bank is a leading regional financial institution that provides a wide range of banking services to personal, business, and commercial clients. Known for its customer satisfaction in mobile banking, M&T Bank offers products and services such as checking accounts, credit cards, mortgages, personal loans, and insurance. Additionally, it provides financial planning through Wilmington Advisors @ M&T. The bank is committed to community engagement, supporting local businesses, multicultural banking, and volunteerism. With a focus on cybersecurity and digital banking solutions, M&T Bank serves its clientele through comprehensive online and mobile services.

📋 Description

• Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility • Help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner • Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations • Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls • Interact with and assist in oversight of state, federal, domestic and possibly international regulatory relationships and examinations • Work with the Compliance Director to engage other Risk Departments, Internal Audit, Legal and/or Regulatory Affairs regarding interrelated risk issues impacting fiduciary, operational, credit, strategic, reputation, market, liquidity, interest rate and capital risks • Evaluate and provide guidance with other stakeholders on new and evolving business products and services from a fiduciary and regulatory compliance risk perspective

🎯 Requirements

• Bachelor's Degree in related field • 6 years’ experience in compliance, legal, audit or risk OR in lieu of degree, a combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit or risk • Working knowledge of relevant regulations, regulatory guidance and industry best practices • Experience providing guidance and credible challenge in relation to sales practices, supervisory structure and enhancement of supervisory framework

🏖️ Benefits

• Medical and retirement benefits • Forty hours of paid volunteer time each year