Regional Governance&Risk Dir (Boston)

Oversee the various regional duties including policy changes/updates/compliance/regulation, and special projects. Participate in PB Risk & Governance Executive's conference calls and executes on Regional risk management gameplan. Holistically manage region-level risk to include the following: client, regulatory, operational, credit, reputation, shareholder and associate risks. Manage processes at the region-level around KYC and AML, including repair and closure process, Quality, Suspicious Transmittal Memorandums, and KYC approvals. Manage implementation of Enterprise-wide Risk initiatives. Ensure risk / compliance training and coaching completed for all associates. Knowledge of platform issues (PACE) and the intersection of several banking and investment solutions (fiduciary, brokerage, credit & banking). Work with region leadership to respond to customer complaints. Coordinate Fraud response actions. Maintain designated Brokerage Policy. Audit Issues. Money Movement Oversight. Do's & Don't Guideline Oversight. Manage Code of Ethics requirements for the region, including conflicts and gift policies. CMAT Exceptions and implementing corrective action. Regional contact for Risk partners, including Compliance, Legal, Audit. E-mail Retention & Oversight. Ensure reps are licensed in all states where customers reside. Ensure market level procedures are in line with compliance policies and procedures. Serve as point person/liaison for regulatory inquiries

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