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Responsible for implementing the compliance function within a single division or fairly narrow area of the business unit.

Responsibilities Include

• evaluation of fairly narrowly defined issues e.g., evaluation of a new regulation, money laundering etc. Implements compliance oversight procedures, with little to no supervision.
• Possesses solid knowledge of the principles concepts practices of the compliance discipline and applies them to their moderately wide understanding of products functions.
• Individuals are fully knowledgeable of their area of expertise and are capable of executing completing complex tasks and analysis.
• Due to the nature of the work, they tend to have experience on a narrow range of compliance subjects.
• Utilizes negotiating skills with, and provides counsel to staff of sales, marketing, product development, portfolio management and other disciplines to ensure that compliance is attained by identifying problem situations, analyzing causes, etc,