Sr. Manager – Marketing and Corporate Functions Compliance

Sr. Manager – Marketing and Corporate Functions Compliance

Requirements

• Advanced Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance reviews.
• Advanced 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.
• Advanced Knowledge of fundamental investment concepts, practices and procedures used in the securities industry.
• Advanced Knowledge of principles of banking and finance and securities industry operations.
• Advanced Knowledge of financial markets and products.
• Advanced Skill in administering regulatory notification and filings.
• Advanced Skill in planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Advanced Skill in identifying and applying appropriate compliance monitoring procedures and tests.
• Advanced Skill in preparing oral and/or written reports.
• Advanced Skill in investigating compliance issues and irregularities.
• Advanced Skill in making rule-based and analytical decisions.
• Advanced Skill in strong verbal and written communication.
• Advanced Skill in operating standard office equipment and using required software applications.
• Ability to manage, coach and mentor others.
• Ability to partner with other functional areas to accomplish objectives.
• Ability to facilitate meetings ensuring that all viewpoints, ideas, and problems are addressed.
• Ability to attend to detail while maintaining a big picture orientation.
• Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
• Ability to work independently as well as collaboratively within a team environment.
• Ability to establish and maintain effective working relationships at all levels of the organization.
• Ability to maintain confidentiality.
• Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• Ability to interpret and apply policies and identify and recommend changes as appropriate.
• Ability to quantitatively and/or qualitatively process data.
• Ability to formulate and implement department strategies consistent with long-term company goals.

Responsibilities

• Oversees the compliance programs for Marketing and Corporate Functions Compliance, including Advertising Supervision, Legal, Human Resources, and Office Services to ensure compliance process and procedures are integrated and aligned with business processes.
• Oversees compliance exception reporting processes and approves corrective actions.
• May coach, train, and mentor others Compliance associates.
• May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
• Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.
• Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
• Monitors and reviews all reporting, audits, and correspondence.
• Reviews and analyzes existing programs, policies, and procedures to locate potential gaps and/or need for additional controls if applicable.
• Ensures effective coordination occurs within assigned work group and with other work groups.
• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Serves as a resource on compliance issues to clients and staff.
• May serve as a compliance liaison on various committees and projects representing the interest of the department.
• Attends and may deliver presentations at industry-related conferences.
• Researches regulatory updates to identify linkages and trends and apply findings.
• Performs periodic reporting on compliance and operational issues as required.
• Balances conflicting resource and priority demands.
• Performs other duties and responsibilities as assigned.

Preferred Qualifications

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.