**Essential Duties and Responsibilities** + Helps drive Compliance strategic direction toward Information Technology, Information Security, Data governance, protection, and management. + Perform risk assessments and monitoring activities to assess the design, completeness, and effectiveness of regulatory obligations. + Implement formal testing protocols for key risks and controls. + Monitor regulatory developments and assess applicability to IT and maintain a centralized inventory of regulatory obligations and dependencies. + Develop, maintain, and enforce IT compliance policies and standards and ensure alignment with enterprise governance structures. + Maintain policy mappings to regulatory obligations and control frameworks such as NIST, CRI, and FFIEC. + Promote a culture of compliance through ongoing education and conduct process-specific training for escalated items. + Report metrics to regional and enterprise committees for visibility and strategic decision-making. + Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit and external regulators. + Coordinate with business lines and risk stakeholders to ensure consistent oversight of regulatory obligations. + Provide strategic guidance to IT teams for implementing regulatory changes and mitigating emerging risks. + 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 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; state banking regulatory agencies. + Deep understanding of global and domestic regulations governing data privacy, financial services, and IT governance. + Knowledge of Enterprise Data Management and Data Loss Prevention (DLP) technologies + Principles of banking and finance and securities industry operations. **Advanced skill in:** + Experience with metrics reporting, scorecards, and dashboards to monitor compliance effectiveness. + 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:** + Design and execute second-line oversight testing programs for IT controls. + 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 + Maintain confidentiality. + 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. **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.