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Essential Duties and Responsibilities

+ Executes the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country.

+ Provides detailed documentation of testing in branch exam system and related work papers.

+ Ensures prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested.

+ Uses professional judgement to know when to “ask the next question” as potential risk areas are identified.

+ Applies the appropriate risk weight to a given testing activity and/or finding level.

+ Clears communication of all exam findings to branch management, exam managers and compliance leadership

+ Provides reporting of exam findings and complete any related follow up in a timely manner.

+ Ensures risks and adverse trends are identified and escalated.

+ Provides compliance guidance to business partners, as needed and with guidance from exam managers and/or senior members of the exam team.

+ Maintain regular interaction with Compliance and Supervision partners

+ Participates in training and giving general direction to new hires, as well as fellow teammates, as needed.

+ Assists managers with exam packet reviews and provide necessary feedback to assigned examiner.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

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

+ Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or 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; and state banking regulatory agencies.

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

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Skill in:

+ Overseeing compliance programs.

+ Integrating and aligning compliance processes and procedures with business processes.

+ Coordinating complex compliance activities.

+ Providing support and guidance for compliance efforts.

+ Identifying and implementing controls and quality assurance processes.

+ Reviewing materials for compliance with rules and regulations.

+ Researching compliance issues.

+ Developing compliance training programs.

+ Gathering information and preparing oral and written reports.

+ Preparing and delivers written and oral presentations.

+ Investigating relevant irregularities.

+ Making rule-based and analytical decisions.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Partner with other 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.

+ Gather information, identify linkages and trends, and apply findings to assignments.

+ Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate.

+ 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, both orally and writing, with all organizational levels.

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

+ Provide a high level of customer service.

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

+ Maintain confidentiality.

+ Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management.

~or~

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

Licenses/Certifications

+ FINRA Series 7 and 9/10 or 24 expected.

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