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Essential Duties and Responsibilities

+ Executes (PIAs) on changes to business applications, systems, or products that involve the processing of personal information.

+ Processes requests to exercise data subject rights for accessing, correcting, deleting, or restricting use of an individual’s personal information.

+ Maintains industry knowledge of global privacy laws, company guidelines and policies, and industry best practices.

+ Coaches and mentors less experienced Compliance associates.

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

+ Ensures that compliance activities are commensurate with the level of risk being mitigated.

+ Provides escalated support and guidance to compliance efforts in assigned business entity.

+ Informs appropriate Senior Management about issues that may involve rule violations or potential liability.

+ Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

+ Researches compliance issues.

+ Alerts Senior Management of current regulatory issues.

+ Researches, interprets, and translates regulatory rules and regulations for Senior Management.

+ Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.

+ Addresses sensitive compliance issues with Management.

+ Participates in corporate policy discussions related to compliance.

+ Reviews documentation related to compliance issues for validity and alignment with organizational policies.

+ Prepares and delivers written and oral presentations to senior management.

+ May coordinate and/or oversee responses to regulatory agency inquiries.

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

+ Manages relevant external examinations, ensuring that requested information and reports are provided.

+ Prepares and delivers written and oral presentations to Management.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

+ Data privacy laws and regulations.

+ 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.

+ Privacy/GRC tools such as OneTrust and IBM Open Pages recommended.

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.) and a minimum of three (3) 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.

+ CIPP/US or equivalent data privacy subject matter certification preferred

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