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Senior Advisor, Compliance Training - Req. 1900736


Job Summary:

Under administrative direction, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and act as a liaison between functional areas. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

  • Support the design, implementation and oversight of a comprehensive and centralized Firm-wide Compliance Training Program which includes:

-identifying and assessing current Compliance-relevant training courses and/or materials; creating new or revising existing Compliance-relevant courses and/or materials; and developing a multi-year Compliance Training Plan and conduct quarterly reviews of the training plans.

  • Oversees compliance program for an assigned business unit(s) to ensure compliance processes and procedures are integrated and aligned with business processes.
  • Research and identify educational and communication resources to develop a network of subject matter experts.
  • Assist in development and execution of comprehensive strategies and implementation plans to ensure the successful roll-out of Compliance-relevant training campaigns.
  • Alerts Senior Management of current regulatory issues, possible rule violations and potential liability.
  • Participates in corporate policy discussions related to compliance.
  • Prepares and delivers written and oral presentations to senior management.
  • Manages relevant audit and regulatory examinations, ensuring that requested information and reports are provided.
  • Develop and maintain appropriate metrics and report on training completion uptake/ratios as well as the overall effectiveness of the Compliance Training Program.  Incorporate “training” as a Key Risk Indicator.
  • Work with business unit(s) to develop, communicate and implement strategies, procedures and technology systems designed to support the Training Compliance Pillar.
  • Identify and recommend solutions to automate and/or streamline processes underpinning with the Compliance Training Program.
  • Perform ad hoc analysis and assist in preparing materials for the Training Compliance Pillar.
  • Partner with business and function unit Compliance to conduct annual training assessments based on key regulations, audit results, testing results, risk assessment results, reg. enforcement/ hot topics, etc.
  • Partner with HR, Legal, SMEs and policy owners on course reviews, builds and development.
  • 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:

• Overseeing compliance programs. 

• Integrating and aligning compliance processes and procedures with business processes.

• Coordinating complex compliance activities.

• Providing support and guidance for compliance efforts. 

• Identifying and implementing controls and quality assurance processes. 

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Developing compliance training programs.

• Gathering information and preparing oral and written reports.

• Preparing and delivers written and oral presentations. 

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

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.