**Essential Duties and Responsibilities** + Assist with compliance governance reporting for all compliance pillars, including compliance representation, conducting research, due diligence, documentation, escalation, collaboration within and outside compliance groups related, but not limited to, issue management, emerging risks, regulatory changes, supplier, and product risk assessments. + Provide compliance support on various investment advisory areas of coverage, not limited to Asset Management Services and Investment Advisors Division, including operational businesses. + Manage compilation of CCO quarterly reporting for investment products and advisory services coverage area. + Coaches and mentors less experienced Compliance associates. + Oversees compliance program for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes. + Directs adjustments to existing compliance programs, policies, and procedures, as required. + Ensures that compliance activities are commensurate with the level of risk being mitigated. + Provides escalated support and guidance to compliance efforts for assigned business areas. + Informs appropriate Senior Management about issues that may involve rule violations or potential liability. + Assists compliance management to implement adequate controls and quality assurance processes to detect and address potential compliance issues. + Research compliance issues. + Alerts Senior Compliance Management of current and/or emerging regulatory issues. + Researches, interprets, and translates regulatory rules and regulations for Senior Management. + Monitors exception and other internal reports for adherence with applicable rules and regulations. + Advises Senior Compliance Management on issues that involve possible rule violations and potential liability. + Addresses sensitive compliance issues with Management in assigned functional area. + Participates in corporate policy discussions related to compliance. + Reviews documentation related to compliance issues for validity and alignment with organizational policies. + Prepares and delivers written and oral presentations to senior management. + May assist with responses to regulatory agency inquiries. + May contribute to compliance training programs in conjunction with other compliance activities. + Reports compliance program status and activities to compliance and business management personnel. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of:** + Concepts, practices and procedures of investment advisory, securities industry and/or banking compliance reviews. + Rules and regulations of the Investment Advisers Act of 1940 (IA40); Securities Exchange Commission (SEC); state; DOL/ERISA; IRC; and 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. + Prepares 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 recommend 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.) in a related discipline and zero (0) to two (2) years of experience in the financial services industry, compliance, or risk management. ~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.