"Alerted.org

Essential Duties and Responsibilities

+ Reviews the requirement, data and test findings produced by an application to ensure the system(s) meets expectations.

+ Directs adjustments to existing programs, and procedures, as required.

+ Provides escalated support and guidance to compliance efforts.

+ Researches application issues.

+ Develops training/help programs related to the various Compliance systems overseen by our department.

+ Reports compliance program status and activities to compliance and business management.

+ Develops procedures to reconcile data across vendor and internal systems to ensure accuracy of reporting and assist with troubleshooting discrepancies.

+ Documents and organizes requirements, data analysis and testing progress to support cross-training and collaboration efforts.

+ Coordination with team members to discuss technology solutions and interpretation of requirements.

+ Manages relationships with end user surveillance analysts for the purpose of requirements gathering and issue troubleshooting.

+ Assists management to implement appropriate controls to detect and address potential compliance problems.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

+ Advanced data analytics concepts.

+ Concepts, practices, and procedures of securities industry preferred.

+ Control functions such as Compliance, Supervision, or Financial Crimes.

Skill in:

+ Common SQL language.

+ Data analytics tools and platforms (e.g., SQL, Qlik Sense, SmartSheet)

+ Written and verbal communication.

+ Providing support and guidance for compliance efforts.

+ Identifying and implementing controls and quality assurance processes.

+ Researching compliance issues.

+ Developing compliance training programs.

+ Gathering information and preparing oral and written reports.

+ Preparing and delivering written and oral presentations.

+ Investigating relevant irregularities.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Provide training, coaching, and mentoring for others.

+ Establish and communicate clear directions and priorities.

+ Partner with other functional areas to accomplish objectives.

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

+ Attention 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 recommend compliance 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.) and a minimum of six (6) 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.