Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities / retirement industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Works within a specified Business Unit to lead large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.

*Remote Option Available*

Essential Duties and Responsibilities

• Oversees the compliance programs for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

• Supports a specific Business Unit.

• May coach, train, and mentor less experienced Compliance Specialists.

• May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other 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 Senior Compliance 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.

• Develops and maintains compliance policies and procedures.

• Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.

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

• Manages external compliance examinations, ensuring that requested information and reports are provided.

• May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines.

• Prepares and delivers written and oral presentations to management.

• 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 the Department of Labor (DOL), including Employee Retirement Income Security Act (ERISA) law

• 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.

• 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:

• Provide training, coaching, and mentoring for others.

• 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 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.) in a related discipline and a minimum of six (6) 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