Tristate Capital Bank – Private Bank Director – Compliance

Tristate Capital Bank – Private Bank Director – Compliance

Requirements

• Advanced Knowledge of Federal Reserve Bank Regulations governing Financial Holding Companies and Bank Holding Companies and State Chartered Member Banks
• Consumer Protection Bureau regulations governing banks
• Familiarity and understanding of Securities Based Lending, Commercial Lending, Commercial Real Estate, Treasury Management, and Deposit Products
• State of PA Banking Statutes and Regulations
• Compliance and legal procedures in the financial services industry
• Concepts, practices, and procedures of the financial services industry
• Regulatory filings and regulatory reporting requirements
• Financial services and products
• Concepts, practices, and procedures of securities industry compliance
• Investment concepts, practices and procedures used in the securities industry
• Advanced Skill in administering regulatory notifications and filings
• Planning and scheduling work to meet regulatory organizational and regulatory requirements
• Investigating compliance issues and irregularities
• Making rule-based and analytical decisions
• Identifying and applying appropriate compliance monitoring procedures and tests
• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally
• Preparing oral and/or written reports
• 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
• Ability to attend to detail while maintaining a big picture orientation
• Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives
• Ability to establish and communicate clear directions and priorities
• Ability to gather information, identify linkages and trends, and apply findings to operations
• Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area(s)
• Ability to plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others
• Ability to manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates
• Ability to work independently as well as collaboratively within a team environment to resolve problems

Responsibilities

• Manages department, associates, and division of responsibilities within TriState Capital Bank Compliance department
• Provides compliance support for TriState Capital Bank entity
• Identifies and manages regulatory risks associated with TriState Capital Bank
• Develops, reviews, and adjusts the departments and business unit policies and procedures to adapt to changing regulatory and business environments
• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded
• Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the TSCB compliance department
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff
• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate supervisors
• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs
• Prepares and reviews compliance reports for the TriState Capital Bank Risk Committee and other management and Board level committees
• Oversees periodic compliance reviews and maintenance of documentation to support the completion of the review and corrective measures taken
• Works with business management to develop, communicate and implement strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations
• Researches existing rules and monitors regulatory developments and communicates changes to affiliates and home office staff
• Develops, implements, sustains, monitors and when necessary, revises compliance programs that reflect ‘best practices’ and ensures the firm is adhering to all legal and regulatory requirements
• Identifies trends and implements corrective action, as necessary
• Partners with senior business executives, legal, risk management, and compliance to appropriately mitigate and manage regulatory and litigation risk
• Works with business partners and managers to ensure policies and procedures are in compliance with required regulations and assists in bringing non-complying areas into compliance
• Supports a culture of risk management and compliance throughout all levels within the firm
• Plans, assigns, monitors, reviews, evaluations and leads the work of others
• Performs other duties and responsibilities as assigned

Preferred Qualifications

No preferred qualifications provided.