Internal ID: 1700918Job Summary: *Position requires high amount of travel within continental United States.
Under limited supervision, uses extensive knowledge of the brokerage, investment advisory, and banking industries, obtained through education and/or experience, training and/or certification, to conduct and/or lead onsite compliance examinations of Private Client Group offices. Also, conducts more complex periodic oversight reviews, makes independent determinations, takes appropriate remedial actions, and escalates issues, when appropriate. Trains others on examination process and reviews. Serves as technical advisor to examination teams. Leads projects of moderate scope and complexity. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Recommends improvements for examination processes and procedures. Resolves or recommends solutions to complex problems. Extensive contact with internal and external customers is required to identify, research, and resolve problems. Essential Duties and Responsibilities:
•Coordinates scheduling of assigned examinations. •Performs collection and validation of data in compliance with examination program requirements. •Analyzes collected data to identify irregularities. •Conducts more complex onsite examinations to evaluate compliance with written policies and procedures. •Alerts appropriate parties of identified issues, escalates items as appropriate. •Drafts and distributes examination related communications to internal customers, external customers, and management. •Adheres and recommends enhancements to generally accepted organizational examination workflows. •Manages examination related travel expenses. •Trains staff on compliance processes and procedures. •Provides for maintenance of proper books and records relating to areas of assigned responsibilities. •Reviews more complex exception and other internal reports in compliance with written policies and procedures •Participates in addressing sensitive compliance issues with management in assigned functional area. •May facilitate responses to regulatory agency inquiries. •Recommends process improvements to enhance the effectiveness and efficiency of firm processes. •Performs other duties and responsibilities as assigned. *Position Location: Varied Branch locations across the Country
QualificationsKnowledge, Skills, and Abilities: Knowledge of:
•Financial markets and products. •Advanced investment concepts, practices and procedures used in the securities industry. •Advanced Concepts, practices and procedures of auditing brokerage and investment advisory firms. •Rules and regulations of the Securities and Exchange Commission (SEC); 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; and state banking regulatory agencies. Skill in:
•Planning, organizing and conducting audits. •Reviewing activities for adherence to organizational policies and procedures. •Explaining policies and regulations to others. •Addressing sensitive issues with others. •Preparing and delivering written communication. •Operating standard office equipment and using required software applications. Ability to:
•Attend to detail while maintaining a big picture orientation. •Gather information, identify potential issues, and use independent judgment on a variety of compliance issues. •Interpret and apply organizational policies and procedures, as well as securities and/or banking regulations. •Work under pressure to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment with frequent interruptions. •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. •Meet tight deadlines. Educational/Previous Experience Requirements:
•Bachelor’s Degree and a minimum of five (5) years of compliance experience, with preference given to experience conducting brokerage, investment advisory, and/or banking compliance examinations. ~or~ •Any equivalent combination of education, experience, and/or training approved by Human Resources. Licenses/Certifications: Series 7 Required Series 24 or Series 9/10 Licenses or ability to obtain within 120 days of employment.
*Position Location: Varied Branches across the country *Position requires high amount of travel within continental United States.
JobAuditing & CompliancePrimary LocationUS-FL-Tampa-St. PetersburgOrganizationPrivate Client GroupScheduleFull-timeShiftDay JobTravelYes, 75 % of the Time