Researches compliance issues.
Alerts Senior Management of current regulatory issues.
Researches, interprets and translates regulatory rules and regulations for Senior Management.
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Monitors exception and other internal reports for employee adherence with rules and regulations.
Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.
Addresses sensitive compliance issues with Management in assigned functional area.
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.
Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
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, Skills, and Abilities
Advanced knowledge of : Advanced knowledge of
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 : 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 : 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 currency in securities and / or banking industry rules and regulations and best practices in compliance.
Educational / Previous Experience Requirements :
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 Compliance and / or the financial services industry. Law degree preferred.
Any equivalent combination of experience, education, and / or training approved by Human Resources.
Licenses / Certifications :
Licenses / Certifications
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
Additional licenses / certifications demonstrating the candidate’s knowledge / expertise in industry regulation and concepts preferred.