Compliance Advisor I

SAN ANTONIO (SAT)

Brief Summary

Compliance Advisor I 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. Job Description • 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. Minimum Requirements • 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. Preferred • 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 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. Job Description • 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. Minimum Requirements • 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. Preferred • 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.