Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations pertaining to associate conflicts of interest. Coordinates compliance functions, guides compliance efforts, and act as a liaison between functional areas and the enterprise. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Executes processes and procedures for Associate Activities Compliance programs which includes Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, and Outside Investment Account activities.
• Performs program components including, monitoring of 1st and 2nd line activities, data analytics, metric creation, exception processing, reporting, and program governance.
• Conducts data manipulation and analysis to identify trends, draw conclusions and present actionable insights.
• Establishes partnerships across Compliance, Supervision, Risk, Human Resources and other areas.
• Oversees assigned compliance program(s) to ensure compliance processes and procedures are integrated and aligned with business processes.
• Participates in and directs adjustments to existing programs, policies, and procedures.
• Ensures that compliance activities are commensurate with the level of risk being mitigated.
• Informs and advises management on issues that may involve possible rule or policy violations and potential liability that require investigation or escalation.
• Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
• Researches associate conflict related compliance issues.
• Researches, interprets, and translates regulatory rules and regulations for Associate Activities Compliance.
• Monitors exception and other internal reports for employee adherence with rules, policies, and regulations.
• Addresses sensitive compliance issues with Management.
• Reviews documentation related to compliance issues for validity and alignment with policies.
• Responds to associate conflict policy, system, and process related inquiries
• Prepares and delivers written and oral presentations to 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.
• 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.
• Conducting data analytics using advance Microsoft Excel functionality.
• 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, preparing and delivers oral and written reports and presentations.
• 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

• None Required.

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

Travel

• None Required