Compliance Manager

Raymond James•Pittsburgh, PA

About The Position

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Leads 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 related to commercial banking and consumer deposits.

Requirements

Knowledge of: Concepts, practices, and procedures of banking compliance reviews.
Rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve System; and state banking regulatory agencies.
Principles of banking and finance related to commercial baking, deposits, and treasury management.
Financial markets and products.
Commercial lending
Skill in: Overseeing compliance programs.
Integrating and aligning compliance processes and procedures with business processes.
Coordinating complex compliance activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Researching compliance issues.
Developing compliance training programs.
Gathering information and preparing oral and written reports.
Preparing and delivers written and oral presentations.
Investigating relevant irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Ability to: Provide training, coaching, and mentoring for others.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Attend to detail while maintaining a big picture orientation.
Gather information, identify linkages and trends, and apply findings to assignments.
Interpret and apply banking regulations and identify and recommend compliance changes as appropriate.
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.
Remain current banking industry rules and regulations and best practices in compliance.
Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) 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.

Nice To Haves

Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Oversees the compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
Coaches, trains, and mentors 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.
Research 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.
Routinely interacts with Executive Leadership, TSC Senior Management, Compliance Directors, Compliance Senior Managers, Compliance Managers and associates, Internal Audit, and Federal Regulators.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.