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Location Miami, United States Category Risk & Governance Date posted 17/05/2021 Job ID 2102131
Sr. Advisor, Compliance - Project Horizon-2102131


Position Summary:

The Sr. Advisor, Compliance serves as a subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy. S/he performs risk assessments, synthesizes analyses, identifies root cause(s), and provides recommendations to management that influence business solutions.


  • Advises management on current issues regarding banking.
  • Advises management on current issues regarding correspondent banking.
  • Collaborates across business units within the organization to ensure consistency in policies and procedures.
  • Ensures proper implementation of business requirements and identifies outstanding compliance issues.
  • Identifies compliance opportunities and potential solutions.
  • Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.
  • Leads and influence cross functional enterprise projects or compliance teams.,Leads efforts to improve standardization and efficiency of responses to regulators.
  • Mentors and enhances compliance staff knowledge competencies.
  • Offers recommendations and makes project related decisions within scope of work assignment.
  • Partners with managers in assigned business unit to respond to reports issued by regulatory agencies or audit.
  • Performs risk assessments, synthesizes analyses, identifies root cause(s), and provides recommendations to management.
  • Provides compliance input on business action plans, projects, or operational requests.
  • Provides insight and guides management on issues.
  • Responds to regulatory inquiries and third party examiners.
  • Serves as a resources to team members on escalated issues of unusual nature.
  • Serves as a subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy.
  • Acts as a subject matter expert (SME) while providing leadership, guidance, and mentorship to other team members.



Bachelor's Degree; Business, Finance, or equivalent field.,Master's Degree; Business, Finance, or equivalent field.,or equivalent work experience;

Work Experience: 9-12 years; Compliance, Legal, Regulatory, or Financial Services.

Skills and Abilities:

  • Ability to adjust to new developments/changing circumstances.
  • Ability to analyze risk and design efficient control practices to minimize risk
  • ,Ability to build and foster internal and external relationships.
  • Ability to build and foster internal relationships.
  • Ability to convey a sense or urgency and drive.
  • Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure.
  • Ability to lead, influence and direct peers, subordinates and management.
  • Ability to make effective decision making on complex matters.
  • Ability to multi-task and meet strict deadlines.
  • Advanced knowledge of regulatory compliance, relevant industry regulations and regulatory data sources.
  • Business Line awareness,Commercial awareness.
  • Demonstrated experience facilitating change to achieve measurable results.
  • Demonstrated subject matter expertise compliance opportunities and resolution.
  • Detail orientated with the ability to also understand overall strategy.
  • Excellent critical thinking skills with the ability to be adept in identifying and resolving complex risk management problems.
  • Excellent interpersonal, supervisory, and customer service skills required.
  • Excellent project management skills.
  • Excellent written and verbal communication skills
  • Self-directed, self-motivated and demonstrated experience providing ideas and solutions to further business understanding.
  • Superior analytical, problem solving and critical thinking skills.

Physical Demands:

Minimal physical effort such as sitting, standing, and walking.


  • Brings out the best in each team member by consistently motivating and acknowledging peer contributionsUnderstands and leverages team dynamics
  • Effectively conveys difficult or complex information in an easy to understand manner, by providing the big picture and illustrating important linkages
  • Asks open-ended questions that encourage others to give their points of view
  • Ensures people receive the information they require, and brings the team together to share information
  • Ensures that all directs and colleagues have appropriate knowledge of risk and the regulatory environmentInvestigates and identifies the root cause and corrects items deemed non-compliant, regardless of pressures from business or management
  • Fully accountable for timeliness, completeness, quality of projects, processes, products and services
  • Remains calm and focused on goals while facing pressures, obstacles or short-term setbacks,Improves relationships between key individuals to achieve seamless cross-team work flow and positively impact results
  • Uses informal networks to gain support for ideas and projects
  • Keeps up -to-date with external market events, pressures and regulations which may impact the organization and assesses whether similar issues exist in the organizatio
  • Can identify functional and organizational implications associated with major trends
  • Designs solutions to address industry activities that impact the organization
  • Monitors adherence to policies, regulations, processes and procedures within function and actively undertakes corrective action where necessary
  • Understands end to end processes across the organization and how processes are integrated
  • Has a practical knowledge of regulations impacting area supported



Primary Location

:Florida-Miami-1401 Brickell Avenue - 06660 - Miami

Other Locations

:United States, Massachusetts-Boston-75 State Street - 06366 - State Street-Corp


:Consumer & Business Banking (1001)



Job Posting

:May 17, 2021, 2:19:35 PM

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  • Risk & Governance, Miami, Florida, United StatesRemove