Compliance Specialist III: M & T Bank

RESPONSIBILITIES:
- Responsible for the planning, leadership, innovative problem resolution, analysis and reporting for sales Suitability and Licensing.
- Responsible for developing new methods and procedures to make daily suitability and licensing more efficient.
- Responsible for the ongoing creation and updating of written policies and procedures.
- Manages two (2) direct reports with a team total of nine employees and exercises usual authority regarding hours, performance reviews, promotions, salary recommendations and terminations.
- Recommends training and development of staff.
- Responsible for department contingency planning.
- Interacts with Sales Management, Senior Management of M&T Securities and FINRA examiners, and internal and external auditors.
- Creates and analyzes reports to identify and evaluate areas of potential risk and recommend solutions.
BASIC QUALIFICATIONS:
- Bachelor’s degree
- Minimum of 5 years of Broker/Dealer experience
- Demonstrated strong analytical and problem-solving skills, with the ability to devise new solutions to meet the changing regulatory environment
- FINRA Series 7, 24, 53, 63 and Life, Accident and Health Insurance licenses within (1) year
- Excellent verbal and written communication skills
- Self-motivated, well organized, with high degree of integrity
- Proven ability to work under time constraints, handle multiple tasks in support of various assignments, function professionally and support business needs
- Strong interpersonal skills
IDEAL QUALIFICATIONS:
- Knowledge of COMPASS, NetExchange Pro, BETA, FINRA’s CRD System, Excel and Word
- MBA preferred
- Thorough knowledge of Suitability and associated regulatory rules preferred

With over 150 years of experience, M&T Bank is considered one of the country's most highly regarded regional banks. M&T Bank Corporation has over $50 billion in assets and is one of the 20 largest bank holding companies in the U.S. M&T Bank has aggressively increased their footprint since 1987 and possesses more than 650 branches & 1600 ATM's across Maryland, New York, Pennsylvania, Virginia, West Virginia and Washington, D.C. M&T also has mortgage offices in Arizona, Colorado, Idaho, New Jersey, Ohio, Oregon, Utah and Washington. M&T Bank offers an attractive compensation and benefits package to include: Holidays, Vacation, Flexible Benefits, Health/Dental, Retirement Savings Plan, Pension Plan, Life Insurance, Travel Accident Insurance, and Employee Banking Advantages. We offer competitive salary and full comprehensive benefits including 401(k). For a complete listing of all open M&T Bank positions, visit our website: www.mandtbank.com. M&T Bank is an equal opportunity employer M/F/D/V.