Investment Compliance Officer - Salt Lake City, Houston or Charlotte

Zions Bancorporation•Salt Lake, UT

1d•Hybrid

About The Position

Zions Bancorporation is seeking an Investment Compliance Officer to join the Market, Liquidity, Wealth Risk & Compliance Team. This role provides comprehensive compliance and operational risk oversight for the Bank’s broker-dealer, capital markets, and investment banking activities. The position ensures compliance with applicable laws, regulations, and internal risk management frameworks, while supporting governance, risk assessments, monitoring/testing, and regulatory change management. This individual contributor role operates as a subject matter expert and trusted advisor to business partners, risk stakeholders, and senior management.

Requirements

Requires a bachelor’s degree in business, finance or a related field.
2-4 + years of experience in financial services regulatory compliance, risk management, securities industry, broker-dealer or directly related field.
A combination of education and experience may meet requirements.
Employee will be required to obtain required FINRA licenses within 12 months of employment.
Strong Excel skills and experience in data analysis, data mining, or database management is preferred.
Strong analytical skills with the ability to bring together large amounts of data into succinct reports.
Excellent verbal and written communication skills and ability to present information to regulators, senior management.
Ability to interpret regulatory rules and translate them into practical business requirements.
Strong communicative, analytical, and problem-solving skills with the ability to challenge the business constructively.
Self-motivation and the ability to work independently or with team members.

Nice To Haves

FINRA Series 7, 79, and/or 24 are strongly preferred.
Experience with institutional trading, securities underwriting, and investment banking activities preferred.
Experience in BSA/AML a plus.

Responsibilities

Provide day-to-day compliance support and oversight for the institutional broker-dealer’s capital markets and investment banking activities.
Review new products, services, and complex transactions for regulatory compliance implications.
Conduct scheduled monitoring and testing reviews over assigned business line activities in accordance with the compliance and risk program.
Perform thematic reviews, surveillance analyses, and control effectiveness testing.
Document findings, root causes, and recommended corrective actions.
Communicate findings/issues to business line management in a professional manner.
Interact with business line partners; schedule and conduct monthly meetings.
Review electronic communications and marketing materials as needed.
Provide impact analysis of proposed and new regulations and industry enforcement actions.
Maintain and update compliance policies, desk procedures, and risk assessment documentation.
Prepare reports for senior management, Compliance leadership, and governance committees.
Participate in audits and regulatory examinations; coordinate responses and evidence gathering.

Benefits

Medical, Dental and Vision Insurance - START DAY ONE!
Life and Disability Insurance
Paid Parental Leave and Adoption Assistance
Health Savings (HSA), Flexible Spending (FSA) and dependent care accounts
Paid Training
Paid Time Off (PTO)
11 Paid Federal Holidays, and any applicable state holidays
401(k) plan with company match
Profit Sharing
competitive compensation in line with work experience
Mental health benefits including coaching and therapy sessions
Tuition Reimbursement for qualifying employees enrolled in an accredited degree program related to the needs of the business
Employee Ambassador preferred banking products