Investment Compliance Officer - Salt Lake City, Houston or Charlotte

Investment Compliance Officer - Salt Lake City, Houston or Charlotte We are currently seeking an Investment Compliance Officer within the Market, Liquidity, Wealth Risk & Compliance Team. This position can be located in Houston, TX, Salt Lake City, Utah, or Charlotte, NC. Description The Market, Liquidity, and Wealth Risk Management (MLW) Team works closely with key executives to monitor and manage some of the most significant processes associated with the financial services industry. The Investment Compliance Officer is responsible for providing comprehensive compliance and operational risk oversight for the Bank’s broker‑dealer, capital markets, and investment banking activities. This individual contributor role ensures the Bank’s activities comply with applicable laws, regulations, and internal risk management frameworks, while supporting effective governance, risk assessments, monitoring/testing, and regulatory change management. 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. Qualifications 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. FINRA Series 7, 79, and/or 24 are strongly preferred. Employee will be required to obtain required FINRA licenses within 12 months of employment. Experience with institutional trading, securities underwriting, and investment banking activities preferred. 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. Experience in BSA/AML a plus. Self‑motivation and the ability to work independently or with team members. 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) and 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. Background Check All candidates, including those with criminal histories, will be considered for employment. However, a background check adjudicated consistently with the FDIC Section 19 regulation will be completed on any candidate who accepts a conditional job offer from the Company. Because the Company is a financial institution, the FDIC guidelines apply to all positions within the company and as such any and all job duties have a direct relationship to a candidate’s criminal history and that criminal history would need to align with the FDIC Section 19 regulations. Equal Employment Opportunity Zions Bancorporation, National Association prohibits illegal discrimination and reaffirms its policy of providing Equal Employment Opportunity (EEO), by extending equal employment and advancement opportunities to all employees and applicants for employment, without regard to race, color, religion, age (40 and over), sex, pregnancy, gender, disability, national origin, ethnic background, citizenship, protected veteran status, military service, sexual orientation, gender identity, genetic information or any other characteristic protected by applicable federal, state or local law. It is the Company’s policy not to discriminate because of a person’s relationship or association with a protected veteran. This includes spouses and other family members. Also, Zions will safeguard the fair and equitable treatment of protected veteran spouses and family members with regard to all employment actions and prohibit harassment of applicants and employees because of their relationship or association with a protected veteran. Applicants Requesting Accommodations If you are a qualified individual with a disability or a disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to use or access our career site. You can request reasonable accommodations by contacting us at View email address on click.appcast.io or View phone number on click.appcast.io. Please email your resume/cover letter, indicate what position you are interested in and include "Accommodation needed" in the subject line to ensure your information is routed to the appropriate contact. This position will be open until filled. #J-18808-Ljbffr Amegy Bank of Texas