IT Compliance Senior Manager

Essential Duties and Responsibilities

• Executes regulatory assessments both annual and targeted.

• Executes ongoing monitoring of IT issue progress and changes, escalates as needed.

• Participate in annual review of IT policies and standards and recommend required changes to Senior Management.

• 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.

• Research regulatory updates to identify impacts, develop and deliver appropriate communication plans to impacted teams.

• Aids in the ongoing identification of process improvement opportunities to streamline IT Compliance functions to deliver process efficiencies.

• Establish objectives and develop processes for ongoing monitoring of IT exceptions and potential impacts on regulatory compliance.

• Performs periodic reporting on compliance issues as required.

• Lead the ongoing development of IT Compliance metrics and reporting.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills and Abilities

Advanced knowledge of:

• Concepts, practices, and procedures of securities industry and banking compliance.

• Information Technology and Information Security controls and regulations

• Rules and regulations of the Office of the Comptroller of the Currency (OCC), Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Retail and clearing firm operations.

• Financial markets and products.

• Investment concepts, practices and procedures used in the securities industry.

Advanced skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing oral and/or written reports.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Maintain attention to detail while also maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

• Gather information, identify linkages and trends, and apply findings to operations.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Work independently as well as collaboratively within a team environment to resolve problems.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Maintain confidentiality.

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.