"Alerted.org

Essential Duties and Responsibilities

+ Helps drive Compliance strategic direction toward Information Technology, Information Security, Data governance, protection, and management.

+ Perform risk assessments and monitoring activities to assess the design, completeness, and effectiveness of regulatory obligations.

+ Implement formal testing protocols for key risks and controls.

+ Monitor regulatory developments and assess applicability to IT and maintain a centralized inventory of regulatory obligations and dependencies.

+ Develop, maintain, and enforce IT compliance policies and standards and ensure alignment with enterprise governance structures.

+ Maintain policy mappings to regulatory obligations and control frameworks such as NIST, CRI, and FFIEC.

+ Promote a culture of compliance through ongoing education and conduct process-specific training for escalated items.

+ Report metrics to regional and enterprise committees for visibility and strategic decision-making.

+ Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit and external regulators.

+ Coordinate with business lines and risk stakeholders to ensure consistent oversight of regulatory obligations.

+ Provide strategic guidance to IT teams for implementing regulatory changes and mitigating emerging risks.

+ 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.

+ 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.

+ Deep understanding of global and domestic regulations governing data privacy, financial services, and IT governance.

+ Knowledge of Enterprise Data Management and Data Loss Prevention (DLP) technologies

+ Principles of banking and finance and securities industry operations.

Advanced skill in:

+ Experience with metrics reporting, scorecards, and dashboards to monitor compliance effectiveness.

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

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Preparing oral and/or written reports.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Strong verbal and written communication.

Ability to:

+ Design and execute second-line oversight testing programs for IT controls.

+ 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.

+ 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.

+ Establish and maintain effective working relationships

+ 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.

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.