Job Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to serve as the surveillance compliance leader for the design, building, testing and implementation of Surveil-X. Provides regulatory and policy-driven guidance and consultation to business partners, designing, implementing, and overseeing a comprehensive compliance and monitoring program, and surfacing relevant information to aid in risk-based decision-making regarding compliance. This role will also lead and/or serve as the compliance representative on large-scale projects and initiatives which carry significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Partners effectively with key control and business partners including IT on key projects and initiatives.

• Develops and maintains policies and procedures.

• Works in conjunction with management to prepare test scripts for new reviews.

• Assists with the development and coordination of requirements for new and enhanced controls

• Aids in designing, evaluating, and enhancing compliance monitoring and surveillance.

• Coordinating quality assurance test of new alerts.

• Works in conjunction with management to develop and implement education and training programs for system end users.

• Works effectively with leadership and senior management and periodically reports on compliance and operational issues to senior management.

• May serve as a compliance liaison on various committees and projects representing the interest of the department

• Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems and processes.

• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

• Coaches, trains, and mentors other Compliance associates.

• Ensures effective coordination within assigned work group and with other work groups.

• Serves as a compliance liaison on various committees and projects that represent the department’s interests.

• Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.

• Attends and delivers presentations at industry and/or company conferences.

• Balances conflicting resource and priority demands.

• Performs periodic reporting on compliance and operational issues as required.

• Serves as a resource on compliance issues to clients and staff.

• Attends and may deliver presentations at industry-related conferences.

• 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.

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; 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; state banking regulatory agencies.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Advanced skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Coach and mentor 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.

• 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.

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

• Maintain confidentiality.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) 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.

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

Travel

None Required