**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 compliance partner for the Global Wealth Solutions (“GWS”) business line, specifically focusing on packaged products including annuities/insurance, mutual funds, 529 plans, unit investment trusts, and exchange traded products. Provides regulatory and policy-driven guidance and consultation to business partners, designing, implementing, and overseeing a comprehensive compliance program, and surfacing relevant information to aid in risk-based decision-making regarding compliance with respect to packaged products. This role will also lead and/or serve as the compliance representative on large-scale projects and initiatives which carry a 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 leaders within the GWS business line as well as Supervision on key projects and initiatives. + Develops and maintains product policies and procedures. + Works in conjunction with management to prepare the Compliance Risk Assessment. + Completes the annual conflict of interest and disclosure assessments for GWS packaged products + Aids in designing, evaluating, and enhancing compliance testing, oversight and surveillance for packaged products. + Assists with coordinating responses to regulatory exams and inquiries. + Works in conjunction with management to develop and implement product-related continuing education and training programs. + Researches regulatory changes and emerging risks to identify linkages, report trends and apply findings. + Completes the annual mandatory absence assessment for GWS associates in assigned departments + Completes the supplier risk assessment for GWS + Assists with evaluation of compliance risks of new products and services for GWS packaged products + Periodically reports on compliance and operational issues to senior management. + Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems and processes. + 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. + Attends and delivers presentations at industry and/or company conferences. + Balances conflicting resource and priority demands. + 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).. + 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 and organizational 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. **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. + 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. **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.