**Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others Compliance associates. + May assist with the development and implementation of continuing education and training programs for the department in conjunction with management. + Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting. + Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. + Monitors and reviews all reporting, audits, and correspondence. + Partner with business units to recommend policy and process changes to Senior Management. + Ensures effective coordination occurs within assigned work group and with other work groups. + Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. + Serves as a resource on compliance issues to clients and staff. + May serve as a compliance liaison on various committees and projects representing the interest of the department. + Attends and may deliver presentations at industry-related conferences. + Researches regulatory updates to identify linkages and trends and apply findings. + Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. + Performs periodic reporting on compliance and operational issues as required. + Assists in preparing the operational budgets for assigned functional area. + Balances conflicting resource and priority demands. + Performs other duties and responsibilities as assigned. + Maintains department specific intranet information + Assists with distribution of field facing and internal update communications **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), Investment Advisers Act of 1940 and SEC regulatory environment; 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:** + Administering regulatory notification and filings. + 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. + Series 65, 66, or equivalent preferred + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.