**Essential Duties and Responsibilities** + Coaches and mentors less experienced Compliance associates. + Supports Capital Markets & Advisory (“CMA”) Compliance in overseeing the compliance program for the CMA Business Unit Compliance teams to ensure compliance processes and procedures are integrated and aligned with business processes. + Directs adjustments to existing 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 in assigned business entity. + Informs appropriate Senior Management about issues that may involve rule violations or potential liability. + Assists CMA Compliance Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems. + Research compliance issues. + Alerts Senior CMA Compliance Management of current regulatory issues. + Researches, interprets, and translates regulatory rules and regulations for Senior CMA Compliance Management. + Monitors exception and other internal reports for employee adherence with rules and regulations. + Advises Senior CMA Compliance Management on issues that involve possible rule violations and potential liability. + Addresses sensitive compliance issues with CMA Compliance Management. + 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 coordinate and/or oversee responses to regulatory agency inquiries. + Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records. + Reports compliance program status and activities to compliance and business management personnel. + Manages relevant external examinations, ensuring that requested information and reports are provided. + Prepares and delivers written and oral presentations to Management. + 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 reviews. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or 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. + 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. + Preparing 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 recommends 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 a minimum of three (3) 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.