IT Compliance Senior Manager

• Executes regulatory assessments both annual and targeted.
• Executes ongoing monitoring of IT issue progress and changes, escalates as needed.
• Participate in annual review of IT policies and standards and recommend required changes to Senior Management.
• Serves as a resource on compliance issues to clients and staff.
• May serve as a compliance liaison on various committees and projects representing the interest of the department.
• Research regulatory updates to identify impacts, develop and deliver appropriate communication plans to impacted teams.
• Aids in the ongoing identification of process improvement opportunities to streamline IT Compliance functions to deliver process efficiencies.
• Establish objectives and develop processes for ongoing monitoring of IT exceptions and potential impacts on regulatory compliance.
• Performs periodic reporting on compliance issues as required.
• Lead the ongoing development of IT Compliance metrics and reporting.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills and Abilities

Advanced knowledge of:

• Concepts, practices, and procedures of securities industry and banking compliance.
• Information Technology and Information Security controls and regulations
• Rules and regulations of the Office of the Comptroller of the Currency (OCC), Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Section 404 of the Sarbanes-Oxley Act of 2002.
• Retail and clearing firm operations.
• Financial markets and products.
• Investment concepts, practices and procedures used in the securities industry.

Advanced skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Preparing oral and/or written reports.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Maintain attention to detail while also maintaining a big picture orientation.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Establish and communicate clear directions and priorities.
• Gather information, identify linkages and trends, and apply findings to operations.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).
• Work independently as well as collaboratively within a team environment to resolve problems.
• Partner with other functional areas to accomplish objectives.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Maintain confidentiality.

• 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., * Any equivalent combination of experience, education, and/or training approved by Human Resources., * Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.