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Job Snapshot
-
Employee Type:
Full-Time -
Location:
Pittsburgh, PA -
Job Type:
-
Experience:
Not Specified -
Date Posted:
10/21/2024
Job 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
Job Requirements
Knowledge, Skills, and Abilities
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%26rsquos Degree (B.A./B.S.) in a related discipline required with a Master%26rsquos degree preferred. Minimum of fifteen (15) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
A minimum of ten (10) years of managerial experience with an emphasis on finance and operations, within an investment advisory or management firm.
Ten (10) years of compliance experience preferred.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
Appropriate series license(s) for assigned functional area preferred.
Additional licenses/certifications demonstrating the candidate%26rsquos knowledge/expertise in industry regulation and concepts preferred.
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
Grow professionally and inspire others to do the same
Work with and through others to achieve desired outcomes
Make prompt, pragmatic choices and act with the client in mind
Take ownership and hold themselves and others accountable for delivering results that matter
Contribute to the continuous evolution of the firm
