**Essential Duties and Responsibilities** + Executes the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country. + Provides detailed documentation of testing in branch exam system and related work papers. + Ensures prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested. + Uses professional judgement to know when to “ask the next question” as potential risk areas are identified. + Applies the appropriate risk weight to a given testing activity and/or finding level. + Clears communication of all exam findings to branch management, exam managers and compliance leadership + Provides reporting of exam findings and complete any related follow up in a timely manner. + Ensures risks and adverse trends are identified and escalated. + Provides compliance guidance to business partners, as needed and with guidance from exam managers and/or senior members of the exam team. + Maintain regular interaction with Compliance and Supervision partners + Participates in training and giving general direction to new hires, as well as fellow teammates, as needed. + Assists managers with exam packet reviews and provide necessary feedback to assigned examiner. + 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 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:** + 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:** + 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 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 three (3) 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** + FINRA Series 7 and 9/10 or 24 expected. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.