General knowledge of Compliance regulations (Consumer Compliance Audit) or Fiduciary and Securities regulations: 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules, Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board (Wealth Compliance Audit). In executing the responsibilities of this position, the incumbent collects, examines and analyzes detailed policies, reports, financial statements, operating procedures and processes for audits related to compliance with lending, deposit, operational and fiduciary regulations which are routine in nature and have a moderate to low degree of complexity.