Senior Advisor, Supervision- Advertising Review

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* Essential Duties and Responsibilities:

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* - Coaches and mentors less experienced supervision associates.

- Oversees supervision program for an assigned business entity to ensure supervision processes and procedures are integrated and aligned with business processes.

- Directs adjustments to existing programs, policies and procedures, as required.

- Ensures that supervision activities are commensurate with the level of risk being mitigated.

- Provides escalated support and guidance to compliance efforts in assigned business entity.

- Informs appropriate Senior 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 & supervision problems.

- Researches compliance & supervision issues.

- Monitors exception and other internal reports for adherence with rules and regulations.

- Advises Senior Supervision Management on issues that involve possible rule violations and potential liability.

- Addresses sensitive supervision issues with Management in assigned functional area.

- Reviews documentation related to supervision & compliance issues for validity and alignment with organizational policies.

- Prepares and delivers written and oral presentations to senior management.

- May coordinate and/or oversee responses to regulatory agency inquiries.

- Reports supervision program status and activities to supervision and business management personnel.

- Manages relevant external examinations, ensuring that requested information and reports are provided.

- Develops supervision training programs in conjunction with other activities, as well as maintains training records.

- Performs other duties and responsibilities as assigned.

** Knowledge, Skills, and Abilities:*
* ** Knowledge of:*
* - Concepts, practices and procedures of securities industry and/or banking compliance reviews.

- Rules and regulations of the Securities Exchange Commission (SEC);
Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC);
Office of the Comptroller of the Currency (OCC);
Federal Financial Institutions Examination Council (FFIEC);
Office of Thrift Supervision (OTS);
Federal Reserve System; and state banking regulatory agencies.

- Fundamental investment concepts, practices and procedures used in the securities industry.

- Principles of banking and finance and securities industry operations.

- Financial markets and products.

** Skill in:*
* - Integrating and aligning supervision processes and procedures with business processes.

- Identifying and implementing controls and quality assurance processes.

- Reviewing materials for compliance & supervision with rules and regulations.

- Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

- Developing training programs.

- Gathering information to prepare and deliver written and oral presentations.

- Investigating relevant irregularities.

- Making rule-based and analytical decisions.

- Operating standard office equipment and using required software applications.

- Operating various social media outlets.

- Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

** Ability to:*
* - 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 securities and/or banking regulations and identify and recommends policy and procedural 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.

- Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.

** Educational/Previous Experience Requirements:*
* - Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of Compliance or Supervision experience.

~or~

- Any equivalent combination of experience, education, and/or training approved by Human Resources.

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* Licenses/Certifications:

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* - Series 7, Series 65/66 and Series 24 required.