Compliance Advisor I
San Antonio, TX 78232
Compliance Advisor I
Job Description Summary
Reviews laws and regulations for business impact and completes risk assessments. Under minimal supervision, performs moderately complex to complex work assignments and problem resolution within a CoSA and enterprise-wide projects. Guides the business on compliance strategy implementation in the pursuit of business solutions.
- Conducts reviews of laws and regulations for business impact.
- Completes accurate risk assessments, develops recommendations and coordinates with appropriate counsel.
- Serves as a resource to less experienced team members on escalated issues of a routine nature.
- Utilizes strong leadership skills in interacting with counsel, customers or team members.
- Builds processes and relationships that facilitate productive teamwork.
- Provides compliance input on business action plans, projects or operational requests.
- Gathers information, analyzes data trends, identifies root cause(s), and provides information to the business or project teams.
- Serves as the subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy.
- Provides industry knowledge and/or skills expertise for work assignments.
- Identifies outstanding compliance issues and oversees proper implementation of business requirements.
- Demonstrates knowledge of how own area links to other key areas of the company and identifies new ways of doing business.
- Monitors and assures compliance with regulatory requirements reporting and maintains relationships with regulatory agencies as directed.
- Coordinate and responds to regulatory requirements and requests.
- Conducts compliance assessments through self-assessment program and examinations.
- Bachelor s degree or 4 additional years of related experience beyond the minimum required may be in lieu of a degree.
- 4 or more years work experience in compliance and/or operations with a broker dealer and/or investment advisor including preparation and testing of procedures and reports.
- Advanced knowledge of relevant regulatory data sources
- Advanced knowledge of data analysis tools and techniques
- Advanced knowledge of relevant industry regulations
- Advanced knowledge of regulatory compliance
- Advanced knowledge of Microsoft Office tools to include Word, Excel and PowerPoint.
- Knowledge of all types of Investment portfolios to include Equity, Fixed Income, Derivatives, etc.
- Experience performing auditing, testing or quality assurance of processes and procedures.
- Experience coordinating with regulators to include FINRA, SEC, Federal Reserve, FDIC, OCC and CFTC.