• Contributes to the development and maintenance of compliance programs, systems, policies, and procedures to ensure compliance with applicable regulations.

• Contributes to the design, implementation and execution of a comprehensive risk-based monitoring and testing program across all applicable policies and procedures.

• Provision of both written and oral advice to a broad range of stakeholders by applying subject matter expertise, identifying risk considerations as appropriate.

• Involvement in risk reviews, audits, examinations, due diligence, and regulatory change processes.

• Fostering positive business relationships with stakeholders across the firm.

• Preparation of reports, presentations, and regulatory submissions

• Provision of training to coverage areas as required

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, practices, and procedures of securities industry compliance, including three-lines of defense model, information barriers, and the management of conflicts of interest.

• Relevant rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA) specifically Rules 5100 (corporate finance), 2241 (conflicts of interest and research), 2210 (communications with the public, 3110 (supervision), 1220 (registration rules), Securities Act – Section 5, SEC Rules 138/139, Reg AC, Reg M.

• Financial markets and products, in particular research products and investment banking transactions structures and processes. 

Skill in:

• Assimilating information and identifying relevant considerations for analysis.

• Determining and applying relevant regulation, policies and procedures to ascertain obligations.

• Provision of accurate and timely advice to stakeholders.

• Conducting inquiries and investigations.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing both oral and written reports, presentations, and regulatory submissions.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Attend to detail while maintaining a big picture orientation.

• Communicate effectively and professionally, both orally and in writing, with all organizational levels.

• Establish and communicate clear directions and priorities.

• Recognize when issues need escalated.

• Continue to develop both technical skills and subject matter expertise through training. 

• Work independently as well as collaboratively within a team environment to resolve problem.

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.