Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification in securities industry compliance 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. Subject matter point of contact for the TriState Capital Bank Private Bank division.

• 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 TSCB 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 and Board level 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.

• Researches 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.

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.

• Familiarity and understanding of Securities Based Lending, Commercial Lending, Commercial Real Estate, Treasury Management, and Deposit Products

• 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.

• Concepts, practices, and procedures of securities industry compliance.

• Investment concepts, practices and procedures used in the securities industry.

Advanced Skill in:

• Administering regulatory notifications and filings.

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

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Identifying and applying appropriate compliance monitoring procedures and tests.

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

• Preparing oral and/or written reports.

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

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

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Attend to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

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

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

• Work independently as well as collaboratively within a team environment to resolve problem.

Bachelor’s, Master’sGeneral Experience – 10 to 15 yearsOther License Not Listed - Other

Travel

Less than 25%

Workstyle

Resident

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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

TriState Capital Bank is an EOE/AA and VEVRAA Federal Contractor
Priority will be given to protected veterans 
EOE/AA: Female/Minorities/Disabled/Protected Veterans/LGBT

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