Hybrid Compliance Manager - Institutional Fiduciary Solutions (Retirement Planning, ERISA/DOL) at Raymond James

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities / retirement industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated.  Works within a specified Business Unit to lead large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems.  Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.

 

*Remote Option Available* 

 

Essential Duties and Responsibilities

·         Oversees the compliance programs for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

·         Supports a specific Business Unit.

·         May coach, train, and mentor less experienced Compliance Specialists.

·         May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process.  Reviews the policies, procedures, and test findings produced by other compliance associates.

·         Directs adjustments to existing programs, policies, and procedures, as required.

·         Ensures that compliance activities are commensurate with the level of risk being mitigated.

·         Provides escalated support and guidance to compliance efforts in assigned business entity. 

·         Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

·         Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

·         Researches compliance issues.

·         Develops and maintains compliance policies and procedures.

·         Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.

·         Reports compliance program status and activities to compliance and business management.

·         Manages external compliance examinations, ensuring that requested information and reports are provided.

·         May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines.

·         Prepares and delivers written and oral presentations to management.

·         Performs other duties and responsibilities as assigned.

%3Cp class=%22MsoNormal%22 style=%22background: #D9D9D9; mso-background-themecolor: background1; mso-background-themeshade: 217;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3E%3Cspan style=%22font-family: %27Calibri%27,sans-serif; mso-fareast-font-family: Calibri; color: #2f6c94;%22%3EKnowledge, Skills, and Abilities%3C/span%3E%3C/strong%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3E%3Cspan style=%22font-family: Calibri, sans-serif;%22%3EAdvanced Knowledge of:%3C/span%3E%3C/strong%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; 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%3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3ERules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or the Department of Labor (DOL), including Employee Retirement Income Security Act (ERISA) law%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EFundamental investment concepts, practices and procedures used in the securities industry. %3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EPrinciples of banking and finance and securities industry operations. %3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; 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font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EResearching compliance issues.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; 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mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EPreparing and delivers written and oral presentations.%3Cspan style=%22mso-spacerun: yes;%22%3E%26nbsp; %3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; 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%3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EMaking rule-based and analytical decisions.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol; mso-fareast-font-family: Symbol; mso-bidi-font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EOperating standard office equipment and using required software applications.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%26nbsp;%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3E%3Cspan style=%22font-family: Calibri, sans-serif;%22%3EAbility to:%3C/span%3E%3C/strong%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EProvide training, coaching, and mentoring for others.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EPartner with other functional areas to accomplish objectives.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EFacilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EAttend to detail while maintaining a big picture orientation.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EGather information, identify linkages and trends, and apply findings to assignments.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EInterpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate. %3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EWork 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/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EUse appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EWork independently as well as collaboratively within a team environment.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EProvide a high level of customer service. %3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EEstablish and maintain effective working relationships at all levels of the organization. %3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EMaintain confidentiality.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l1 level1 lfo2; tab-stops: .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3C!--[endif]--%3EMaintain currency in securities and/or banking industry rules and regulations and best practices in compliance.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cspan style=%22color: rgb(47, 108, 148);%22%3E%26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22background: #D9D9D9; mso-background-themecolor: background1; mso-background-themeshade: 217;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3E%3Cspan style=%22font-family: %27Calibri%27,sans-serif; mso-fareast-font-family: Calibri; color: #2f6c94;%22%3EEducational/Previous Experience Requirements%3C/span%3E%3C/strong%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l0 level1 lfo3; tab-stops: list .25in left .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol; color: black;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E %26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/span%3EBachelor%26rsquo;s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.%3Cspan style=%22mso-spacerun: yes;%22%3E %26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp;%26nbsp; %3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: 0.25in; text-indent: -0.25in; font-family: Arial;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%26nbsp; %26nbsp; %26nbsp; ~or~%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-left: .25in; text-indent: -.25in; mso-pagination: none; mso-list: l0 level1 lfo3; tab-stops: list .25in left .4in 5.0in 5.5in 5.85in 6.1in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22font-family: Symbol; color: black;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp; %26nbsp; %26nbsp;%3C/span%3E%3C/span%3E%3C/span%3EAny equivalent combination of experience, education, and/or training approved by Human Resources.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cspan style=%22color: rgb(47, 108, 148);%22%3E%26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cspan style=%22color: rgb(47, 108, 148);%22%3E%26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22background: #D9D9D9; mso-background-themecolor: background1; mso-background-themeshade: 217;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3E%3Cspan style=%22font-family: %27Calibri%27,sans-serif; mso-fareast-font-family: Calibri; color: #2f6c94;%22%3ELicenses/Certifications%3C/span%3E%3C/strong%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoListParagraphCxSpFirst%22 style=%22mso-add-space: auto; text-indent: -.25in; line-height: 107%; mso-list: l2 level1 lfo1; margin: 0in 0in 8.0pt .25in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22line-height: 107%; font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp; %26nbsp; %26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3Cspan style=%22line-height: 107%;%22%3ENone Required.%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoListParagraphCxSpLast%22 style=%22mso-add-space: auto; text-indent: -.25in; line-height: 107%; mso-list: l2 level1 lfo1; margin: 0in 0in 8.0pt .25in;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3C!-- [if !supportLists]--%3E%3Cspan style=%22line-height: 107%; font-family: Symbol;%22%3E%3Cspan style=%22mso-list: Ignore;%22%3E%26middot;%3Cspan style=%22font-style: normal; font-variant: normal; font-kerning: auto; font-optical-sizing: auto; font-feature-settings: normal; font-variation-settings: normal; font-weight: normal; font-stretch: normal; line-height: normal; font-family: %27Times New Roman%27;%22%3E%26nbsp; %26nbsp; %26nbsp; %3C/span%3E%3C/span%3E%3C/span%3E%3Cspan style=%22line-height: 107%;%22%3EAdditional licenses/certifications demonstrating the candidate%26rsquo;s knowledge/expertise in industry regulation and concepts preferred.%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22background: #D9D9D9; mso-background-themecolor: background1; mso-background-themeshade: 217;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3E%3Cspan style=%22font-family: %27Calibri%27,sans-serif; mso-fareast-font-family: Calibri; color: #2f6c94;%22%3ETravel %3C/span%3E%3C/strong%3E%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22%3E%3Cspan style=%22font-size: 16px;%22%3ENone Required%3C/span%3E%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px; font-family: Arial;%22%3E%26nbsp;%3C/p%3E
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