Compliance Advisor and Data Analytics

The Compliance Advisor is responsible for supporting the organization’s compliance framework by ensuring adherence to regulatory requirements, internal policies, and industry standards. This role conducts compliance reviews, provides guidance to business units, and helps maintain a culture of ethical conduct and risk mitigation., * Provide distinctive service to clients and prospects, in person and over the telephone. Respond to client inquiries and satisfactorily resolve client issues. Support firm-wide achievement of the three-ring standard (all phones answered by a live person within three rings).

• Conduct compliance reviews and assessments to ensure adherence to regulations and internal policies; provide guidance and support to business units on compliance matters; monitor regulatory changes and update policies and procedures as needed; assist in the development and implementation of compliance training programs; collaborate with cross-functional teams to resolve compliance issues; prepare and deliver compliance reports to management; support audits and regulatory examinations; maintain accurate records and documentation of compliance activities; recommend process improvements to enhance compliance effectiveness; ensure adherence to firm standards, ethical practices, and regulatory requirements.
• Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.
• Meet all the client’s financial needs, both business and personal, and refer clients to other specialty areas such as Trust, Investments, Insurance, Treasury Management, etc. as appropriate.
• Assist other team members as needed to ensure delivery of distinctive service.
• Performs other related duties as required.

Data Analysis, People Management, Industry Standards, Regulatory Requirements, Regulatory Compliance, Risk Management, Maintain Compliance, Resolve Customer Issues, Customer Support/Service, Telephone Skills, Minimum Education: Bachelor’s degree in Business Administration, Law, Finance, or related field;

Minimum Experience: minimum 10 years of experience in compliance, risk management, or regulatory affairs;

Required Knowledge, Skills & Abilities: strong knowledge of relevant regulations and industry standards; excellent analytical, organizational, and problem-solving skills; strong communication and interpersonal abilities; proficiency with compliance management systems and Microsoft Office Suite; attention to detail and ability to manage multiple priorities in a fast-paced environment. Primarily office-based with regular interaction with compliance, risk, and business teams; may require occasional travel for audits or regulatory meetings; fast-paced environment with shifting priorities; adherence to firm standards, ethical practices, and regulatory requirements.