**Essential Duties and Responsibilities** + Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness. + Develops and maintains reporting templates and tools to streamline recurring reporting processes. + Monitors reporting timelines and ensure all deliverables meet internal deadlines and quality standards. + Identifies opportunities for process improvements and automation within the reporting function. + Supports ad hoc reporting requests and special projects as directed by Compliance leadership. + Supports the annual review and update process for the Code of Conduct, coordinating with key stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values. + Manages version control, documentation and communication of Code of Conduct updates across the organization. + Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm. + May represent the Compliance department on cross-functional projects as they arise. + Prepares and delivers written and oral presentations to management and other stakeholders. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of:** + Effective reporting and communicating complex information. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. **Skill in:** + Gathering, streamlining and communicating complex information in a digestible way. + Creating reports, presentations and talking points for senior leaders. + Providing support and guidance for compliance efforts. + Reviewing materials for compliance with rules and regulations. + Researching compliance issues. + Writing, editing and proofreading. + Microsoft PowerPoint, Word, Excel and SharePoint. **Ability to:** + See projects through from conception to successful execution. + Absorb unfamiliar topics quickly. + Attend to detail while maintaining a big picture orientation. + Partner with other functional areas to accomplish objectives. + Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. + Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. + Prioritize tasks and pivot quickly when necessary. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions. + Work independently as well as collaboratively within a team environment. + Seek and implement constructive feedback. + Troubleshoot problems and proactively suggest solutions. + Provide a high level of customer service. + Establish and maintain effective working relationships at all levels of the organization. + Maintain confidentiality. **Educational/Previous Experience Requirements** + Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) 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.