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Description

Job Summary

With a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to design, implement and supervise a comprehensive compliance and surveillance program for TriState Capital Bank. Ensures compliance with all regulatory requirements. Works within TriState Capital Bank to lead large or multiple projects with significant scope and impact. Works independently and supervises others to perform difficult assignments that are broad in nature, and that require originality and ingenuity with appreciable latitude for un-reviewed actions or decisions. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Manages department, associates, and division of responsibilities within TriState Capital Bank Compliance department.

• Provides compliance support for TriState Capital Bank entity.

• Identifies and manages regulatory risks associated with TriState Capital Bank.

• Develops, reviews, and adjusts the departments and business unit policies and procedures to adapt to changing regulatory and business environments.

• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.

• Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the TSC compliance department.

• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.

• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate supervisors.

• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.

• Prepares and reviews compliance reports for the TriState Capital Bank Risk Committee and other management committees.

• Oversees periodic compliance reviews and maintenance of documentation to support the completion of the review and corrective measures taken.

• Works with business management to develop, communicate and implement strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations.

• Research existing rules and monitors regulatory developments and communicates changes to affiliates and home office staff.

• Develops, implements, sustains, monitors and when necessary, revises compliance programs that reflect “best practices” and ensures the firm is adhering to all legal and regulatory requirements.

• Identifies trends and implements corrective action as necessary.

• Partners with senior business executives, legal, risk management, and compliance to appropriately mitigate and manage regulatory and litigation risk.

• Works with business partners and managers to ensure policies and procedures are in compliance with required regulations and assists in bringing non-complying areas into compliance.

• Supports a culture of risk management and compliance throughout all levels within the firm.

• Plans, assigns, monitors, reviews, evaluations and leads the work of others.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Federal Reserve Bank Regulations governing Financial Holding Companies and Bank Holding Companies and State Chartered Member Banks.

• Consumer Protection Bureau regulations governing banks.

• State of PA Banking Statutes and Regulations.

• Compliance and legal procedures in the financial services industry.

• Concepts, practices and procedures of the financial services industry.

• Regulatory filings and regulatory reporting requirements.

• Financial services and products.

Advanced Skill in:

• Administering regulatory notifications and filings.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliance issues.

• Making rule-based and analytical decisions.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Strong analytical skills, including demonstrated experience identifying and quantifying complex problems and providing effective resolutions.

• Operating standard office equipment and using required software applications, including database applications and regulatory agency systems.

• Managing a large organization.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Attend to detail while maintaining a big picture orientation.

• 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.

• Lead the work of others and manage, coach and mentor less experienced staff.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply investment advisor regulations and identify and recommend changes in policies and procedures, as appropriate.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Provide a high level of customer service.

• Maintain currency in laws, rules and regulations related to registered investment advisor compliance.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

• Minimum ten (10) years management experience within the financial services industry.

• or

• An equivalent combination of education, experience and/or training as approved by Human Resources.

Licenses/Certifications

• None Required.

• Appropriate series license(s) for assigned functional area preferred.

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

Job: Compliance

Primary Location: US-PA-Pittsburgh-Pittsburgh

Organization RJ Bank

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2403750