Compliance Manager, Data Analytics

• Essential Duties and Responsibilities
• + Builds and maintains Compliance Surveillance controls covering business entities such as: PCG, GEIB, Advisory & Product areas, RIA & Custody Services.

+ Designs custom Compliance dashboards self-service driven model charting to identify key risks, builds data models for integration amongst disparate data sources, QA/Test to ensure validity and transparency of source data. + Collaborates with Compliance Leaders as well as IT leaders to ensure legitimacy and correctness of data sources + Tests all outputs against verifiable sources to ensure delivery of Surveillance Controls & Reporting to ensure accuracy. + Evaluates scope and selects technology components for designing appropriate solutions during development. + Designs and implements highly customized large scale data solutions that augment risk mitigation. + Performs extensive analysis of database entities, relationships and attributes. + Participate in both data design and data processing sessions for assigned projects and teams. + Optimize ETL processes using Microsoft SQL Server or AWS Redshift best practices. + Evaluate the content, accuracy and completeness of data models and file specifications. + Coaches, trains, and mentors less experienced Compliance Specialists. + Ensures that compliance activities are commensurate with the level of risk being mitigated. + Provides escalated support and guidance to compliance efforts in assigned business entity. + Assists management to implement adequate controls and processes to detect and address potential compliance problems. + May make risk-based recommendations to Senior Management using industry knowledge. + Routinely interacts with Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Supervision & Supervision management. + Prepares and delivers written and oral presentations to management. + Performs other duties and responsibilities as assigned.

• Knowledge, Skills, and Abilities

• Knowledge of:

• + Advanced data analytics concepts. + Concepts, practices, and procedures of securities industry preferred. + Control functions such as Compliance, Supervision, or Financial Crimes. + Fundamental investment concepts, practices and procedures used in the securities industry. + Financial markets and products.
• Skill in:
• + Common SQL language.

+ Qlik dashboard development and data manipulation. + AWS Redshift querying and navigation + Written and verbal communication. + Providing support and guidance for compliance efforts. + Identifying and implementing controls and quality assurance processes. + Researching compliance issues. + Gathering information and preparing oral and written reports. + Preparing and delivering written and oral presentations. + Investigating relevant irregularities. + Operating standard office equipment and using required software applications.

• Ability to:
• + Provide training, coaching, and mentoring for others.

+ Partner with other functional areas to accomplish objectives. + Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed. + Attend to detail while maintaining a big picture orientation. + Gather information, identify linkages and trends, and apply findings to assignments. + 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.

• Educational/Previous Experience Requirements
• + Bachelor's degree (B.A. /B.S.) and a minimum of six (6) 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.