Internal ID: 1702940
Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry compliance to administer and manage an assigned compliance function. Leads major projects, programs or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Essential Duties and Responsibilities:
•Establishes objectives and develops processes and procedures that adhere to all regulatory requirements.
•Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.
•Plans, assigns, monitors, reviews, evaluates and leads the work of others.
•Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs.
•Works in conjunction with management to develop and implement continuing education and training programs for the department.
•Serves as a leader for advertising, complaint, regulatory and/or surveillance staff.
•Oversees compliance exception reporting processes and approves corrective actions.
•Schedules and oversees audit processes, including scheduling, training and reviewing audit results.
•May monitor and review branch audits and correspondence.
•Ensures effective coordination within assigned work group and with other work groups.
•Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems.
•Serves as a compliance liaison on various committees and projects that represent the department’s interest(s).
•Attends and delivers presentations at industry conferences.
•Researches regulatory updates to identify linkages, report trends and apply findings.
•Periodically reports on compliance and operational issues.
•Assists in preparing the operational budgets for assigned functional area.
•Balances conflicting resource and priority demands.
•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.
•Rules and regulations of: Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities and banking 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), and the Federal Reserve System.
•Investment concepts, practices and procedures used in the securities industry.
•Principles of banking, finance and securities industry operations.
•Financial markets and products. Advanced Skill in:
•Administering regulatory notifications and filings.
•Planning and scheduling work to meet regulatory organizational and regulatory requirements.
•Identifying and applying appropriate compliance monitoring procedures and tests.
•Preparing oral and/or written reports.
•Investigating compliances issues and irregularities.
•Making rule-based and analytical decisions.
•Strong verbal and written communication. Ability to:
•Manage, coach and mentor others.
•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.
•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.
•Establish and maintain effective working relationships at all levels of the organization.
•Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
•Interpret and apply policies and identify and recommend changes as appropriate.
•Quantitatively and/or qualitatively process data.
•Formulate and implement department strategies consistent with long-term company goals. Educational/Previous Experience Requirements:
•Bachelor’s degree (B.A.) in a related discipline with a minimum of (8) eight years of experience in Compliance.
- Regulators/Examiners liaison experience is Required.
- DB Management experience is preferred.
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
•Series 7 License Required.
Series 24, 14 or9/10 Preferred.
•Additional appropriate Series license(s) for assigned function area to be obtained within six (6) months to one (1) year of hire date, as applicable. #LI-DG1
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOrganizationPrivate Client GroupScheduleFull-timeShiftDay JobTravelYes, 15 % of the Time