Compliance Senior Manager, PCG Investment Products bei RJF Corporate

%3Cp style=%22margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3EJob Summary%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3EUnder intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions (%26ldquo;GWS%26rdquo;) business line, specifically focusing on packaged products including annuities/insurance, mutual funds, unit investment trusts, and exchange traded products.%26nbsp; Provides regulatory and policy-driven guidance and consultation to business partners, designing, implementing, and overseeing a comprehensive compliance and monitoring program, and surfacing relevant information to aid in risk-based decision-making regarding compliance with respect to packaged products.%26nbsp; This role will also lead and/or serve as the compliance representative on large-scale projects and initiatives which carry significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3EEssential Duties and Responsibilities%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Partners effectively with leaders within the GWS business line as well as Supervision on key projects and initiatives.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Develops and maintains product policies and procedures.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Works in conjunction with management to prepare the Compliance Risk Assessment.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Aids in designing, evaluating, and enhancing compliance monitoring for packaged products.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Assists with coordinating responses to regulatory exams and inquiries.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Works in conjunction with management to develop and implement product-related continuing education and training programs. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Researches regulatory updates to identify linkages, report trends and apply findings. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Periodically reports on compliance and operational issues to senior management.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems and processes.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Plans, assigns, monitors, reviews, evaluates, and leads the work of others. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Coaches, trains, and mentors other Compliance associates.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Ensures effective coordination within assigned work group and with other work groups. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Serves as a compliance liaison on various committees and projects that represent the department%26rsquo;s interests.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Attends and delivers presentations at industry and/or company conferences.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Balances conflicting resource and priority demands.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Performs other duties and responsibilities as assigned.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A
%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3EAdvanced knowledge of%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Concepts, practices, and procedures of securities industry and/or banking compliance. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; 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; state banking regulatory agencies. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Investment concepts, practices and procedures used in the securities industry. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Principles of banking and finance and securities industry operations. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Financial markets and products. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3EAdvanced skill in%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Administering regulatory notification and filings.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Planning and scheduling work to meet regulatory and organizational requirements. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Identifying and applying appropriate compliance monitoring procedures and tests. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Preparing oral and/or written reports.%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Investigating compliances issues and irregularities.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Making rule-based and analytical decisions.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Strong verbal and written communication.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3EAbility to%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Manage, coach and mentor others.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Partner with other functional areas to accomplish objectives.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Facilitate meetings ensuring that all viewpoints, ideas, and problems are addressed.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Attend to detail while maintaining a big picture orientation.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Work independently as well as collaboratively within a team environment.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Establish and maintain effective working relationships at all levels of the organization. %3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Maintain confidentiality.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Maintain currency in laws, rules and regulations related to compliance in assigned functional area.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Interpret and apply policies and identify and recommend changes as appropriate.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Quantitatively and/or qualitatively process data.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Formulate and implement department strategies consistent with long-term company goals.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3EEducational/Previous Experience Requirements%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Bachelor%26rsquo;s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E~or~%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Any equivalent combination of experience, education, and/or training approved by Human Resources.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3ELicenses/Certifications%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; None Required.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; Additional licenses/certifications demonstrating the candidate%26rsquo;s knowledge/expertise in industry regulation and concepts preferred.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%26nbsp;%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%3Cb%3ETravel%3C/b%3E%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%0A%3Cp style=%22margin-left:48px; text-indent:-.5in; margin-bottom:11px;font-family: Arial%22%3E%3Cspan style=%22font-size:11pt%22%3E%3Cspan style=%22line-height:107%%22%3E%3Cspan style=%22font-family:Calibri,sans-serif%22%3E%26bull;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; None Required.%3C/span%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A
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