Silicon Valley Bank
Compliance Manager (Finance)
When you work with the world's most innovative companies, you know you're making a difference.
Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work.
They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business.
Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive organization. And we work diligently to encourage all with different ways of thinking, different ways of working, and especially those traditionally underrepresented in technology and financial services, to apply.
Job Description
The Compliance Manager will support day-to-day compliance of the firm's retail and institutional RIA (Registered Investment Advisor) and retail Broker-dealer. The Compliance Manager will work with the Chief Compliance Officer supporting with the ongoing work in the group, contributing to broaden the expertise and resources of the group, in addition to managing special projects. The Compliance Manager must have strong computer skills with the MS Suite of products - Word, Visio, SharePoint, Excel, but will also learn Compliance systems that will be taught to them.
This position will report to the Sr. Director Compliance and be responsible for building strong working relationships with stakeholders in affiliated groups such as SVB Asset Management, and SVB Wealth Advisory.
Position Responsibilities:
Knowledge & Skills
• Experience supporting Corporate Operations from a Risk or Compliance perspective.
• Experience with FINRA, SEC, MSRB and other regulatory agency guidance, rules is highly desired.
• Strong written and verbal interpersonal communication skills.
• Experience helping an organization manage through high levels of regulatory and organizational change.
© 2021 SVB Financial Group. All rights reserved. SVB, SVB FINANCIAL GROUP, SILICON VALLEY BANK, MAKE NEXT HAPPEN NOW and the chevron device are trademarks of SVB Financial Group, used under license. Silicon Valley Bank is a member of the FDIC and the Federal Reserve System. Silicon Valley Bank is the California bank subsidiary of SVB Financial Group (Nasdaq: SIVB).
Equal Employment Opportunity
Silicon Valley Bank is an equal opportunity employer and is dedicated to expanding its commitments and investments to create a more diverse, equitable and inclusive company culture and innovation ecosystem. We are strongly committed to the values and policy of equal employment opportunity across our employment practices.
Silicon Valley Bank is registered in England and Wales at Alphabeta, 14-18 Finsbury Square, London EC2A 1BR, UK under No. FC029579. Silicon Valley Bank is authorised and regulated by the California Department of Business Oversight and the United States Federal Reserve Bank; authorised by the Prudential Regulation Authority with number 577295; and subject to regulation by the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority. Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request.