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Essential Duties and Responsibilities

+ Oversees elements of the RJ Bank compliance program to ensure regulatory requirements are addressed by the business processes.

+ Conducts Compliance new product risk assessments as part of new vendor and/or new product implementation.

+ Works with business to assess and implement new Bank products, services, technologies, and initiatives.

+ Provides advice and guidance to business partners on regulatory compliance matters.

+ May lead and perform RJ Bank Compliance testing and monitoring activities and participate in the Bank’s Complaint Program oversight and management processes.

+ Assists in developing and updating RJ Bank policies.

+ Assists with the development of compliance training

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

+ Assists with regulatory examinations and audits, ensuring that requested information and reports are provided.

+ Research compliance issues.

+ Routinely interacts with RJ Bank and Compliance senior management teams.

+ Prepares and delivers written and oral presentations to management.

+ Performs other duties and responsibilities as assigned.

+ Excellent written and verbal communication and presentation skills are required.

+ Experience in reviewing and editing written materials including policies, procedures, presentations, and testing reports.

+ Ability to perform risk-based compliance testing.

+ Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency.

Knowledge, Skills, and Abilities

Knowledge of:

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

+ Federal Financial Institutions Examination Council (FFIEC); Federal Reserve Board (FRB); Consumer Financial Protection Bureau (CFPB), and state banking regulatory agencies

+ Advanced banking concepts, practices and procedures used in the financial services industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Skill in:

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

+ Attend to detail while maintaining a big picture orientation.

+ Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

+ Establish and communicate clear directions and priorities.

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

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

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

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.

+ Interpret and apply banking regulations and identify and recommend compliance changes as appropriate.

+ Provide a high level of customer service.

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

+ Maintain confidentiality.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.

+ Juris Doctorate (J.D.) including prior legal experience 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.