AddressRoles & Responsibility:
- Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Line's execution and challenges appropriately on compliance related decisions
- Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
- Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
- Provide compliance risk and regulatory expertise for compliance program elements
- Recommend opportunities for process improvement and risk control development
- Manage coordination and communication with leadership regarding compliance risks
- Implement strategic initiatives with moderate risk and complexity
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
- Manage allocation of people and financial resources for Compliance
- Mentor and guide talent development of direct reports and assist in hiring talent
Qualifications:
- Knowledge of FINRA, SEC & OCC (RSNIP) advertising rules.
- 10 + years' experience in reviewing advertising/promotional material.
- Excellent writing and editorial skills.
- Solid knowledge of products offered through Broker Dealers, RIA's and/or Bank Trust Departments
- Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.
- Strong administrative and organizational skills in a deadline-driven environment.
- Ability to work independently and also as part of a high-functioning, collaborative team of professionals, including the ability to form relationships at all levels of the organization.
- Strong ability to prioritize and handle multiple tasks and to be detail oriented in a fast-paced, deadline driven environment.
- Knowledge of emerging communications technology, both for working with colleagues, and for assessing the use of marketing content in emerging communications channels, including social media.
