**Essential Duties and Responsibilities:** + Conducts review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures. + Researches compliance & supervision issues with respect to advertising material. + Monitors and keeps up to date with regulations regarding communications and applies them accordingly. + Assists in researching Supervision issues. + Assists in developing training programs, including maintaining training records and coordinating training with functions. + Prepares and delivers written and oral presentations to business units. + May participate in the formation of policies related to compliance. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities:** **Knowledge of:** + 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:** + Integrating and aligning supervision processes and procedures with business processes. + Identifying and implementing controls and quality assurance processes. + Reviewing materials for compliance & supervision with rules and regulations. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Developing training programs. + Gathering information to prepare and deliver written and oral presentations. + Investigating relevant irregularities. + Making rule-based and analytical decisions. + Operating standard office equipment and using required software applications. + Operating various social media outlets. + Detail orientation to ensure the regulatory liability is limited, without impairing workflow. **Ability to:** + Partner with other functional areas to accomplish objectives. + Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. + 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. + Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision. **Educational/Previous Experience Requirements:** + Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of Compliance or Supervision experience. + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications:** + Series 7, Series 65/66 and Series 24 required.