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Essential Duties and Responsibilities

+ Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders.

+ Coordinates annual training needs assessment processes with key stakeholders.

+ May coach, train, and mentor others Compliance associates.

+ May coordinate with stakeholders to develop and implement continuing education and training programs in conjunction with management.

+ Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.

+ Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.

+ Monitors reporting.

+ Partners with business units to recommend policy and process changes to Senior Management.

+ Ensures effective coordination occurs within assigned work group and with other work groups.

+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

+ Serves as a resource on compliance issues to clients and staff.

+ May serve as a compliance liaison on various committees and projects representing the interest of the department.

+ Researches regulatory updates to identify linkages and trends and apply findings.

+ Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

+ Performs periodic reporting on compliance and operational issues as required.

+ Assists in preparing the operational budgets for assigned functional area.

+ Balances conflicting resource and priority demands.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

+ Compliance and risk training for the securities industry and/or banking compliance.

+ Concepts, practices, and procedures of securities industry and/or banking compliance.

+ Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.

+ Investment concepts, practices and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Advanced skills in:

+ Project management.

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Preparing oral and/or written reports.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Strong verbal and written communication.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Coach and mentor others.

+ Partner with other business units and functional areas to accomplish objectives.

+ Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

+ Attend to detail while maintaining a big picture orientation.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Use appropriate interpersonal styles and communicate effectively, orally and in writing, with all organizational levels.

+ Work independently as well as collaboratively within a team environment.

+ Establish and maintain effective working relationships at all levels of the organization.

+ Maintain confidentiality.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

+ Interpret and apply policies and identify and recommend changes as appropriate.

+ Quantitatively and/or qualitatively process data.

+ Formulate and implement department strategies consistent with long-term company goals.

+ Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

+ Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

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