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Advisor
Banco Santander
Boston, MA, United States
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Description
[POSITION SUMMARY]
The Advisor, Compliance is primarily responsible for ensuring the company complies with regulatory requirements and internal policy and procedures. S/he undertakes standard reviews and escalates to senior staff where non-compliances are identified.
[RESPONSIBILITY STATEMENTS]
Analyzes existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and implements procedures to meet these requirements for applicable business units.
Assesses procedures and policies to ensure the business units are in compliance with standard regulatory and policy requirements.,
Coaches and reviews work of junior level Compliance professionals.,
Collaborates with team on projects and program tasks intended to improve compliance and enhance the control environment.,
Evaluates controls in place to ensure continuous compliance measures with laws, regulations and policies affecting the organization, recommends process improvements to management.,
Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.,
Prepares drafting of policy and procedural documentation when control changes are made.,
Transfers work product into simple guidance/templates for future reference.,
Undertakes standard reviews and escalates to senior staff where non-compliances are identified.,
Validates controls or project plans to ensure compliance with laws, rules and regulations.
[ADDITIONAL RESPONSIBILITY STATEMENTS]
Acts as a subject matter expert (SME) while providing leadership, guidance, and mentorship to other team members.
Qualifications
[EDUCATION] Bachelor's Degree; Business, Finance or equivalent field.,Master's Degree; Business, Finance or equivalent field.,or equivalent work experience;
[WORK EXPERIENCE] 5-9 years; Compliance, Legal, Regulatory, or Financial Services.
[SKILLS AND ABILITIES]
Ability to effectively deal with senior management as well as, Federal/State and other Regulators,
Ability to influence others, including senior leadership.,
Ability to mentor and guide staff and numerous projects simultaneously.,
Ability to quickly respond to inquiries from regulatory agencies, internal partners, and external consultants.,
Ability to read, analyze and interpret government regulations, trade journals and legal documents,
Ability to resolve complex situations with internal clients and regulators, while maintaining a professional presence.,
Ability to work cross-functionally as a team player.,
Advanced Microsoft Office (Excel, Word, PowerPoint, Outlook, Sharepoint) skills.,
Excellent verbal and written communication skills.,
Practical knowledge of corporate regulatory requirements, and factors influencing the business in which the Corporation operates.,
Practical knowledge of key business control areas (Audit & Risk Review, Risk Management, Finance, Human Resources, and Legal) and governmental regulatory agencies.,
Strong project management skills.
[PHYSICAL DEMANDS]
Minimal physical effort such as sitting, standing, and walking.
[COMPETENCIES]
Communicates in a timely and straightforward manner
Probes for additional information, clarifies assumptions and confirms agreed-upon actions
Keeps everyone involved informed about progress and issues,
Communicates the importance and benefits of risk management to counterparts
Displays natural skepticism and curiosity to question the status quo and uncover issues
Adheres to a good root cause analysis process,
Creates a good working environment in the team; works towards shared goals contributing ideas and accepting change
Provides assistance and coaches less experienced team members,
Executes risk management process and procedures without management direction, and demonstrates awareness of expected results
Knows the relationship and impact of actions and results
Has an understanding of regulations impacting area supported,
Follows through to meet commitments to others
Takes responsibility for achieving strong results, despite balancing multiple complex demands,
Knows who to reach out to inside and outside of one?s team to get work done
Takes action to enhance working relationships needed to achieve seamless work flow,
Stays current with industry and regulatory trends and emerging risk issues
Has good understanding of current market and competitive landscape that the organization operates within,
Uses information and data effectively to support a position and present a rational case