Senior Advisor, Compliance - Associate Activities

Essential Duties and Responsibilities

• Executes processes and procedures for Associate Activities program which includes Outside Business Activities, Political Contributions, Gifts and Entertainment, Mandatory Absence, Outside Investment Account, and Corporate Charitable Contribution activities.

• Performs program components including exception processing, monitoring of 1st and 2nd line activities, data analytics, violation identification, metrics creation, reporting, and program governance.

• Establishes partnerships across Compliance, Supervision, Risk, Human Resources and other areas.

• Identifies and informs management about issues that involve possible violations and potential liability that may require escalation.

• Assists Management with the implementation of adequate controls and quality assurance processes to detect and address potential compliance problems.

• Oversees compliance program for an assigned conflicts program to ensure compliance processes and procedures are integrated and aligned with business processes.

• Participates in and directs adjustments to existing programs, policies, and procedures, related associate activities.

• Research associate conflict related issues.

• Responds to associate conflict system and process related inquiries.

• Monitors exception and other internal reports.

• Addresses sensitive compliance issues with Management.

• Participates in corporate policy discussions related to Associate Activities

• Prepares and delivers written and oral presentations to management.

• Performs other duties and responsibilities as assigned.

Knowledge Skills, and Abilities

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.) 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.