Bank Holding Company, Risk, and Finance Compliance Senior Manager at RJ Bank

Job Summary

Under intermittent supervision and with a high level of autonomy, uses practical knowledge of federal banking regulations to plan and execute a comprehensive safety and soundness -focused compliance program.   Manages projects, programs, or processes with material business impact.  Provides expertise to research varied issues, determine the compliance impact, and advise on practical solutions. Develops and maintains strong rapport with business and functional areas.

Essential Duties and Responsibilities

• Provides advice and guidance on compliance issues by maintaining proficient knowledge of firm products and activities, applicable regulations and guidance of the Federal Reserve System, the Securities and Exchange Commission, and other regulatory authorities. 
• Monitors and analyzes new or amended regulatory compliance requirements at a bank holding company level, and for the Risk and Finance organizations, and evaluates current processes to identify areas for enhancement.
• Conducts periodic compliance risk assessments and recommends enhancements, testing, training, or other compliance activities to address residual risk levels. 
• Plans and executes current state assessments, compliance testing, and compliance monitoring routines.
• Evaluates, edits, and supports the development of compliance-related policies. 
• Prepares and delivers written and oral presentations to varied audiences.
• Coaches and mentors less experienced Compliance associates.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Application of Federal Reserve System guidance and regulations, including Category III and IV requirements.
• Federal Reserve regulatory reporting.
• Complex banking products, services, and transactions.
• Regulatory banking organization safety and soundness compliance programs.
• Principles of banking and financial services industry functions.

Advanced skill in:

• Planning and executing regulatory safety and soundness compliance programs. 
• Evaluating compliance processes and procedures in alignment with business processes.
• Making rule-based and analytical decisions.
• Using data to support decision making.
• Identifying and evaluating controls and assessing the control environment. 
• Reviewing materials for compliance with rules and regulations.
• Researching compliance issues.
• Recognizing and investigating relevant irregularities.
• Gathering, analyzing, and preparing written summaries of information.
• Preparing and delivering written and oral presentations to varied audiences.  

Ability to:

• Maintain high level of proficiency in banking and financial services industry guidance and regulations and leading practices in compliance risk management.
• Partner with other functional areas to accomplish objectives.
• Attend to detail while maintaining a big picture orientation.
• Interpret and apply banking regulations and identify and recommend policy and procedural changes as appropriate.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Facilitate meetings, ensuring that all viewpoints, ideas, and issues are addressed.
• 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.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.)  and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~or~

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

Licenses/Certifications

• None Required.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Travel

None Required