Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the firm’s overall efforts to manage data privacy risk. Responsible for collaborating with peers and senior leaders in support of the firm’s compliance programs for managing identifying, assessing, mitigating, and monitoring data privacy risks. This includes serving as a privacy advisor to business teams, coordinating compliance functions, acting as a liaison between functional areas, and leading large or multiple projects with significant scope and impact.

• Maintain industry knowledge with global privacy laws, internal policies and procedures, and industry best practices.

• Serve as a team lead across departments for privacy-related projects and initiatives.

• Collaborate with business and technology partners to identify and address privacy-related compliance gaps or areas of privacy risk, translate, and write privacy requirements into business requirements, oversee privacy-related initiatives and projects.

• Develop and maintain privacy policies, standards, and procedures for identifying, reporting, and resolving privacy risks.

• Manage incident management case load and if necessary perform privacy risk assessments on potential incidents.

• Work with business partners to identify and address compliance gaps or areas of privacy risk.

• Recommend process improvements for quality assurance and document metrics to track privacy program effectiveness.

• Respond to and assist with privacy-related inquiries.

• Prepares and delivers written and oral presentations to management.

• Mentor associates with less experience.

• Performs other duties and responsibilities as assigned.

• Concepts, practices, and procedures of compliance and risk management, with an emphasis on privacy and data protection

• Knowledge of the securities industry and/or banking compliance.

• Privacy/GRC tools such as OneTrust and IBM Open Pages.

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.

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

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Administering regulatory notification and filings.

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

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Work independently while maintaining extensive contact with relevant internal stakeholders.

• Handle difficult assignments that require originality and ingenuity.

• Provide comprehensive solutions to complex problems.

• Coach and mentor 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.

• 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 in writing, at all organizational levels.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

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

• Interpret and apply policies and identify and recommend changes as appropriate.

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.