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Senior Advisor, Compliance Issues Management - Req. 1900788


Job Summary:

The Senior Advisor of Compliance Issues Management will perform their duties under administrative direction, using banking/financial services knowledge and skills obtained through education, experience, training to administer and manage an assigned compliance function. Specifically, these duties will focus on administering governance and oversight of the analytics, metrics and reporting of Compliance owned and risk related issues across the Firm. This individual will contribute and support the strategic direction and develop tactical plans, as well as provide comprehensive solutions to escalated problems or needs. End results will be evaluated for achieving goals and objectives

Essential Duties and Responsibilities:

• Support the management of newly identified issues entry into the GRC Tool, including updates and approval through closure.

• Assist in obtaining and analyzing data information, including researching Compliance owned, Regulatory and risk related issues. 

• Support end-to-end tracking, monitoring, analysis, and report on compliance owned and risk related issues.

• Assists in the preparation and distribution of detailed, accurate and timely reports on a scheduled basis.

• May recommend and work with other areas to improve operational efficiencies of compliance systems.

• May assist to monitors and review all metrics and reporting for issues, including audits and regulatory exams.

• Supports the periodic reporting on compliance and operational issues as required.

• Assist in developing Compliance Issue Management standards, processes and procedures

• Partner with businesses and functions on implementing recommended policies, standards and procedures.

• May assist with the development, scheduling and execution of training for the department and businesses.

• Supports with administrative direction effective coordination of assigned tasks within Compliance and with other work groups.

• Collaborate well with all levels of management throughout Compliance, Businesses and Functions.

• May assist to coach, train and mentor others Compliance associates.

• Under administrative direction balances conflicting resource and priority demands.

• Performs other duties and responsibilities as assigned.




Knowledge, Skills, and Abilities:

Advanced knowledge of:

• Concepts, practices and procedures of securities industry and/or banking compliance reviews.

• 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:

• Creating dashboards and management level reports

• Perform comprehensive analysis of complex data, identifying trends, anomalies, exceptions, and themes

• Design decks for management reporting (oral / written reports)

• Identifying and applying appropriate compliance issue management procedures.

• Perform efficient and effective data quality review

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

• Operational risk management experience and/or issue management experience

Ability to:

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• 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.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

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 Compliance and/or the financial services industry.       


• Any equivalent combination of experience, education, and/or training approved by Human Resources.


• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

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