Summary of Responsibilities:

The compliance officer is an experienced sole contributor that assists the chief compliance officers (CCOs) in the management of compliance processes in support of Touchstone Investments and its regulated entities (Touchstone Securities, Touchstone Advisors, and Touchstone Mutual Funds). Provides compliance oversight, regulatory guidance instituting effective governance and risk management practices. Partners with CCOs and senior distribution channel leadership in the development and application of strategic vision for the culture of compliance for an adviser/fund complex and broker-dealer. The compliance officer is responsible for assisting CCOs in maintaining regulatory, risk, and governance oversight by analyzing, and establishing internal controls. The compliance officer will own and lead program activities with mutual fund, variable insurance, seperately managed account sales, and private placement Distribution Channels, liasing with senior management and departmental management, supervising the conduct of needs analysis’ and coordinating the reviews of selling agreements, policies and procedures, and complaints. In support of the CCOs, the compliance officer will manage business risks by coordinating and leading compliance / audit teams in the conduct of ongoing auditing programs and monitoring of compliance and regulatory governance requirements related to Touchstone Investments and affiliated regulated entities. The compliance officer collaborates with the CCOs in attending and supporting various governance oversight committees, manages multiple deadlines, responds to requests from regulators, responds to moderately complex compliance questions, leads project teams, and works in a semi-autonomous fashion with limited daily supervision, making a broad range of critical decisions. The compliance officer additionally manages the preparation of reports or other actions requested by the parent entity, W&S Financial Group, for presentation to the Touchstone’s board of trustees and the board of directors, Touchstone Securities and Touchstone Advisors.

Position Responsibilities:

• Owns moderately difficult projects, utilizing multiple resources to successfully complete tasks.

• Collaborates in the establishment of strategic vision and goal setting. Independently identifies and leads projects, coordinating and successfully completing multiple assignments simultaneously. Interacts with internal committees and regulators in accomplishing tasks.

• Actively participates in establishing goals and expectations for team assignments. Participates in determining deliverables, identifying action items and effectively prioritizing projects. Exerts influence within team on all assignments.

• Completes regulatory filings to help ensure compliance with regulatory requirements.

• Reviews rep/adviser, fund and client account activity to identify compliance issues.

• Advises Compliance management of compliance issues and recommends corrective actions. Confirms facts and provides deliverables and resolution of issues with middle management.

• Reviews new products and marketing, advertising and communications materials to ensure compliance with regulatory requirements.

• Responds to requests for information from regulators.

• Responds to moderatley complex compliance questions.

• Performs other tasks as assigned.

Selection Criteria:

Work Setting:

• This position travels and works in various office settings and requires being in a stationary position for long periods of time frequently while working at a desk, on a computer or with other standard office equipment, or while in meetings.

• Position requires frequent movement of wrist, hands and fingers for continuous computer work.

Educational Requirements:

• Bachelor’s degree or commensurate experience within financial services preferred.

• Advanced business, law or operations degree preferred.

Computer Skills and Knowledge of Hardware & Software Required:

• Advanced knowledge of word processing applications.

• Working knowledge of web-based applications including the internet.

• Proficient in Mircosoft Office (Excel, Access, Word) applications, as well as intranet, email and mainframe applications.

• Proficient in Legal and Regulatory research applications.

Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.):

• FINRA SIE and Series 6 within six months of the date of hire; FINRA Series 26 and any applicable other registration for the state of residence within nine months of the date of hire.

• FINRA Series 7, 24, 52/53, 63 and 65 or 66 desireable.

• Advanced certification preferred – two or more of the following: CPA, CRCP, IACCP, CFA Investment Foundations Program, CFA, CSCP, CFE, CAMS; or may be required to obtain in 6 – 18 months depending on complexity of coursework and exam.

Position Demands:

• Extended hours required during peak workloads and special projects.

• Travel required by car or plane at least 20% annually.