Compliance Senior Manager, Executive Reporting and Strategy

** Essential Duties and Responsibilities*
* + Lead the coordination and development of materials supporting the Chief Compliance Officer's participation in Board and executive governance forums, synthesizing information from across Compliance, anticipating questions and follow-up needs, and ensuring materials are timely, accurate, clear, and responsive to leadership expectations.

+ Partner with the VP responsible for Compliance strategy to support development, communication, and execution of Compliance priorities, including coordinating information across Compliance leadership, developing executive-level presentations and reporting, and helping translate strategic priorities into clear deliverables and actions.

+ Identify themes, dependencies, and opportunities for alignment across Compliance initiatives and bring observations and recommendations forward to support strategic planning and decision-making.

+ Build effective relationships across Compliance and other functions to coordinate complex initiatives, drive alignment among stakeholders, surface issues requiring resolution, and help ensure leadership priorities advance on a timely basis.

+ Manage and create quarterly governance reports for Compliance leadership, highlighting key initiatives and escalating risks to management.

+ Develop in-depth, executive-level talking points and support materials for Compliance leadership's quarterly governance meetings.

+ Collaborate with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness.

+ Develop and maintain reporting templates and tools to streamline and continuously improve recurring reporting processes.

+ Monitor reporting timelines and ensure all deliverables meet internal deadlines and quality standards.

+ Identify opportunities for process improvements and automation within the reporting function.

+ Support ad hoc reporting requests and special projects as directed by Compliance leadership.

+ Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm.

+ May represent the Compliance department on cross-functional projects as they arise.

+ Prepares and delivers written and oral presentations to management and other stakeholders.

+ Performs other duties and responsibilities as assigned.

** Knowledge, Skills, and Abilities*
* ** Advanced knowledge of:*
* + Effective reporting and communicating complex information.

+ Concepts, practices, and procedures of securities industry and/or banking compliance.

+ Rules and regulations of:
Securities Exchange Commission (SEC);
Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies.

** Advanced skill in:*
* + Gathering, streamlining and communicating complex information in a digestible way.

+ Creating reports, presentations and talking points for senior leaders.

+ Writing, editing and proofreading.

+ Making rule-based, analytical and strategic decisions.

+ Providing support and guidance for compliance efforts.

+ Reviewing materials for compliance with rules and regulations.

+ Researching compliance issues.

+ Microsoft PowerPoint, Word, Excel and SharePoint.

** Ability to:*
* + See projects through from conception to successful execution.

+ Absorb unfamiliar topics quickly and translate into executive-ready materials.

+ Attend to detail while maintaining a big picture orientation.

+ Partner with other functional areas to accomplish objectives.

+ Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

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

+ Prioritize tasks and pivot quickly when necessary.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

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

+ Seek and implement constructive feedback.

+ Troubleshoot problems and proactively suggest solutions.

+ Provide a high level of customer service.

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

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

+ Quantitatively and/or qualitatively process data.

+ Maintain confidentiality.

** Educational/Previous Experience Requirements*
* + Bachelor's degree (B.A. /B.S.)  and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~or~

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

** Licenses/Certifications*
* + None Required.

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