Summary of the Position:

The Private Bank Credit Officer reviews and provides credit decisions on approval requests submitted by Credit Production Managers. Credit Officers perform an objective evaluation of client credit availability pertaining to marketable securities and other types of liquid asset collateral, ensuring that the Bank maintains high credit quality standards, and communicates findings accordingly.

Primary Functions of the Position:

• In a high-volume environment, evaluates the risk considerations of a loan application and makes timely credit decisions
• Checks and, if necessary, revises credit approval request details before submitting approvals for loan documentation and booking
• Reviews credit investigations and related due diligence
• Completes loan modification requests for existing clients’ loans
• When required, reviews legal and borrower-provided documentation for accuracy and completeness
• May assist in the analysis of problem accounts and propose acceptable solutions regarding customer service issues
• Performs related reporting and project support work

Education and Experience Requirements:

• Bachelor’s Degree, preferably in Business or related field
• 3 years of banking or securities experience
• 3 years of underwriting experience
• Financial services experience with exposure to marketable securities, collateralized or asset-based lending, or loan administration is preferred

Essential Skills and Abilities:

• Demonstrated knowledge of accounting principles and reconcilement procedures
• Proficient in MS Office, specifically Excel and Word
• Able to quickly identify pertinent details and make timely, sound decisions
• Organized with strong attention to detail
• Professional interpersonal and communication skills
• Strong writing, critical-thinking, and analytical skills

The Senior Auditor will be responsible for performing audits in accordance with the Bank’s internal audit program, and audit guidelines. This individual will provide support to the VP, Internal Audit and will ensure the coordination and completion of all activities related to the internal audit program. The individual will report directly to the VP, Internal Audit.

Primary Functions of the Position:

• Works with the VP, Internal Audit to determine internal audit scope, identify risks, develop and maintain annual plans in accordance with Bank policy.
• Lead the planning, fieldwork, reporting phases and the execution of a risk-based audit plan. Ensure internal audit workpapers follow regulatory and industry audit standards. Or identify, within the team, patterns of noncompliance, taking appropriate action to report and resolve.
• Prepare, present, and maintain reports that reflect audit’s results and documentation process.
• Ensure that all audit project activities are compliant with the risk-based audit plan.
• Develop continuous monitoring activities in accordance with the internal audit risk assessment and annual audit plan.
• Lead annual internal audit risk assessment process. Maintain documentation to support the internal audit risk assessment and periodic changes to the assessment.
• Coordinate and attend all audit meetings with internal stakeholders to ensure the prompt completion of all audit activities.
• Support VP, Internal Audit to analyze and ensure that all audit issues are resolved in a timely basis. Maintain supporting documentation for all issues identified within the audit.
• Conduct research using primary data sources, and select information needed for the analysis of key themes and trends. Make recommendations on how to improve internal controls and governance processes.
• Maintain an in-depth understanding of technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.

Education and Experience Requirements:

• Bachelor’s degree in accounting or related business disciplines required
• 5 years of prior public accounting or internal audit experience required
• Certified Internal Auditor or equivalent recommended

Essential Skills and Abilities:

• Knowledge of internal control concepts, internal auditing standards, COSO and risk assessment practices required.
• Excellent written and verbal communication skills at all levels of the organization
• Knowledge of banking products, services, systems, policies, and procedures
• Advanced computer skills with Microsoft Office applications and Teammate+ application recommended
• Ability to work independently with limited required direction and guidance
• Ability to work in a confidential manner due to access to information of a sensitive nature
• Strong time management, problem-solving, resolution-driven and analytical skills
• Ability to exhibit sound independent judgement

Summary of the Position:

The Quality Review Team Lead manages a staff of individuals who are responsible for the validation of workflow performed in the Deposit and Treasury areas of Operations. The Quality Review Team Lead will also be responsible for the organization and presentment of all documentation that is related to audit. It is imperative that all SOC and non-SOC related items are performed accurately and timely. The Quality Review Team Lead will maintain a strong understanding of all Deposit products and services, as well as maintain a solid understanding of Treasury Operations. This candidate will work closely with Deposit Operations, Treasury Operations, Wire Operations, ACH Operations, and Private Bank Deposit Services.

Primary Functions of the Position:

• Manages the day-to-day activity of the Quality Review staff
• Assists in development of yearly performance evaluations of the Quality Review staff
• Approves timecards for any non-exempt employees
• Ensures staff is properly and adequately trained.
• Maintains all policy and procedures for audit
• Coordinates the day-to-day activities of the Quality Review team
• Ensures all service levels are met
• Conducts training as needed
• Works closely with Deposit Operations, Treasury Operations, Wire Operations, ACH Operations, and Private Bank Deposit Services

Education and Experience Requirements:

• Bachelor’s Degree Preferred
• A minimum of 5 years of experience, including 2 years of bank operations leadership experience in a deposit operations role.

Essential Skills and Abilities:

• Demonstrates knowledge of all Deposit and Treasury products, systems, and related processes
• Ability to successfully lead a team through proper training and coaching
• Organizational skills that will be imperative to supporting audits
• Candidates should have experience with Deposit products including Checking, Money Markets, Certificates of Deposits, and CDARS/ICS
• Candidate should have experience with Treasury products including Online Banking, Wire, ACH, and other related products
• Candidate should possess branch knowledge, teller work, new account opening, and client service requests.
• Ability to communicate effectively in writing and over the phone
• Ability to work in a fast-paced, high-intensity work environment
• Job may require additional hours of work during peak periods to meet service levels

Summary of the Position:

The Senior Commercial Loan Closing Specialist is responsible for processing and closing all Commercial Real Estate and C&I loans (these include new loans, loan renewals, loan modifications with a variety of structures, collateral, rates and terms), ensuring quality, completeness and accuracy. The position will work closely with the assigned Loan Administrator, Portfolio Manager, Relationship Manager, Borrower, Legal Counsel and Third Parties. This Role will have a high concentration of Commercial Real estate with some Construction, Revolving Line of Credits, Participations, Fund Finance and Agented Transactions. The role will be expected to perform the necessary due diligence to successfully close these transactions with minimal supervision. Examples of this work will be to complete the necessary Flood due diligence, Review and Opine on the Plan and Cost Report, confirm the accuracy of Insurance and the creation of Pro Rata’s for Agented Transactions. This information will be reviewed and compared against loan approvals and draft documents, ensuring all closing conditions and expectations have been met and closing can occur.

Essential Functions of the Position:

• Reviews complex loan documents, initiates and drives deal closing calls that include internal and external deal team members and counsel.

• Ensures documentation accurately reflects the intentions of the credit approval.

• Facilitates teamwork and continuity.

• Proactively pursues gaining new knowledge to perform effectively in the role

• Prepares funding requests and ensure accurate and complete funding information to ensure a timely closing

• Ensures transactions are closed in compliance with the Bank’s loan policy and any other requirements designated by the credit approval.

• Works with Relationship Manager/Underwriter to understand the transaction and make sure that all relevant documentation is obtained for a timely closing.

• Liaises and coordinates pre-closing requirements with internal and external clients (Underwriter, Relationship Manager, Syndication Desk, Borrowers, Lenders).

• Demonstrates ability to balance required regulatory and policy requirements when making decisions.

• Ensures Know Your Customer “KYC” requirements have been met prior to closing a transaction.

• Resolves issues that might impede closing and use judgement to involve the manager and internal counsel when required.

• Completes post-closing steps to ensure that all necessary documentation is received by downstream partners.

• Monitors and clears loan exceptions

• Develops, designs, and follows inter-departmental controls and risk reducing processes.

• Positively accepts change and engages with team and relevant stakeholders.

• Engages in raining and Process Improvement Initiatives

Education and Experience Requirements:

• Post-secondary degree preferred

• Minimum 5 -8 years of experience, including 5 years of bank operations processing, loan closings or related experience

• Commercial Real Estate experience is preferred

Essential Skills and Abilities:

• Demonstrated knowledge of loan documentation and lending regulations and ability to effectively interface with customers, internal and external counsel, compliance, credit, title companies, inspectors, insurance companies and other external contacts

• Job may require additional hours of work during peak periods to meet service levels

• Must demonstrate strong follow-up skills and the ability to prioritize tasks effectively

Summary of the Position:

The Loan Servicing and Quality Assurance Specialist will perform both data input of transactions and quality review of the core loan system for both consumer and commercial loans.

Primary Functions of the Position:

• Ensure that the core loan system matches the executed legal documents, whether via input or review
• Process or review new loans, renewals, modifications, extensions, payments, advances, maintenance, and system generated reports
• Provide customer support to both internal and external clients regarding account inquiries, research, and operational issues
• Provide backup support for other related duties, such as overseeing the printing and mailing of loan statements and manual calculation of accruing fees on commercial loans
• Work closely with Relationship Managers, Service Teams, Legal and Compliance to effectively execute on deliverables

Education and Experience Requirements:

• High School Diploma or equivalent; post-secondary degree preferred

• 2-4 years of experience, including previous bank operations or financial services experience
• Previous Consumer/Private Bank/Wealth Management quality review experience with knowledge of lending regulatory requirements is a plus

Essential Skills and Abilities:

• Familiarity with loan systems; and ability to read and understand loan documents in order to review that the loan system matches the loan documents
• Strong attention to detail
• Ability to communicate effectively in person, through email, and over the phone
• Proficiency in basic math skills and general knowledge of office software is required
• Ability to work in a fast-paced, high-intensity work environment
• Job may require additional hours of work during peak periods to meet service levels

Summary of the Position

The Private Bank Deposit Services Specialist position effectively coordinates the end-to-end Private Banking deposit account process and provides exemplary service and support to our clients. This position must partner effectively with the full Sales organization, Internal and External Counsel, Compliance, Financial Advisors, Family Offices, Operations, and all other authorized parties affiliated with each Private Banking transaction in order to deliver a premier client experience across all client engagements.

Primary Functions of the Position

• Assures complete and accurate client data is captured in the deposit application, prepares applicable new account documentation, and follows the deposit process through to
• Reviews all client account opening documentation for accuracy, with a thorough understanding of all client agreements that pertain to the onboarding of each client
• Works closely with all members of the Private Bank Service Team in supporting client
• Partners and communicates effectively with Relationship Managers, Internal and External Counsel, Compliance, Financial Advisors, Family Offices, Operations, Clients, and all other authorized parties affiliated with each
• Provides a premier client experience across all client
• Works closely with other teams within operations and throughout the bank to enhance current
• Requires the onboarding of Online Banking set-ups for personal and corporate clients, performs maintenance requests, transmission requests, and other miscellaneous services offered by the
• Participates effectively in assigned
• Responsible for ongoing client support with a wide range of Private Banking Deposit

Education and Experience Requirements

• Bachelor’s Degree, or equivalent combination of education and experience
• Minimum 5 years of financial industry experience required, including 2 years of bank operations and/or client service experience preferred

Essential Skills and Abilities

• Ability to organize and prioritize work assignments in a consistent manner to ensure timely and efficient execution
• Exceptional interpersonal and communication skills
• Very strong customer service skills
• Proficiency in Microsoft Office preferred
• Keen attention to detail and understanding of deposit processing systems
• Analytical problem-solving capabilities
• Strong work ethic and ability to be self-directed
• Ability to work effectively in a high-energy, fast-paced, team-oriented work environment and adapt quickly to changing priorities

Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program for TriState Capital Bank. Ensures compliance with all regulatory requirements. Works within TriState Capital Bank to lead large or multiple projects with significant scope and impact. Works independently and supervises others to perform difficult assignments that are broad in nature, and that require originality and ingenuity with appreciable latitude for un-reviewed actions or decisions. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Manages department, associates, and division of responsibilities within TriState Capital Bank Compliance department.
• Provides compliance support for TriState Capital Bank entity. Subject matter point of contact for the TriState Capital Bank Private Bank division.
• Identifies and manages regulatory risks associated with TriState Capital Bank.
• Develops, reviews, and adjusts the departments and business unit policies and procedures to adapt to changing regulatory and business environments.
• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
• Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the TSCB compliance department.
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate supervisors.
• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
• Prepares and reviews compliance reports for the TriState Capital Bank Risk Committee and other management and Board level committees.
• Oversees periodic compliance reviews and maintenance of documentation to support the completion of the review and corrective measures taken.
• Works with business management to develop, communicate and implement strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations.
• Researches existing rules and monitors regulatory developments and communicates changes to affiliates and home office staff.
• Develops, implements, sustains, monitors and when necessary, revises compliance programs that reflect “best practices” and ensures the firm is adhering to all legal and regulatory requirements.
• Identifies trends and implements corrective action, as necessary.
• Partners with senior business executives, legal, risk management, and compliance to appropriately mitigate and manage regulatory and litigation risk.
• Works with business partners and managers to ensure policies and procedures are in compliance with required regulations and assists in bringing non-complying areas into compliance.
• Supports a culture of risk management and compliance throughout all levels within the firm.
• Plans, assigns, monitors, reviews, evaluations and leads the work of others.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Federal Reserve Bank Regulations governing Financial Holding Companies and Bank Holding Companies and State Chartered Member Banks.
• Consumer Protection Bureau regulations governing banks.
• Familiarity and understanding of Securities Based Lending, Commercial Lending, Commercial Real Estate, Treasury Management, and Deposit  Products
• State of PA Banking Statutes and Regulations.
• Compliance and legal procedures in the financial services industry.
• Concepts, practices, and procedures of the financial services industry.
• Regulatory filings and regulatory reporting requirements.
• Financial services and products.
• Concepts, practices, and procedures of securities industry compliance.
• Investment concepts, practices and procedures used in the securities industry.

Advanced Skill in:

• Administering regulatory notifications and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Preparing oral and/or written reports.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Attend to detail while maintaining a big picture orientation.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Establish and communicate clear directions and priorities.
• Gather information, identify linkages and trends, and apply findings to operations.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).
• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Work independently as well as collaboratively within a team environment to resolve problem.

Education:

Bachelor’s

Work Experience:

10 years

Summary of the Position:

The Inside Sales Representative (ISR) will broaden our existing client relationships and seek new business opportunities in a defined geography while working from our Pittsburgh offices.  Successful candidates will proactively contact financial advisors to assist them in implementing TriState Capital Bank strategies, in particular, the Bank’s securities-based lending products.  Inside Sales Representatives act as a critical link between resources available at the corporate offices of TriState and their external sales partners towards the achievement of sales goals.

Primary Functions of the Position:

• Collaborate with external sales partner / sales management in creating and implementing a business plan to expand our relationship with existing clients (financial advisors) and identify potential new clients (financial advisors)
• Coordinate / schedule meetings and/or calls with financial advisors / staff to provide relationship management support services and assist with initial loan application completion
• Meet all KPIs outlined for the team, which promote the overall growth of the territory
• Take the lead on certain aspects of the business plan, while also managing the follow-up for the efforts of external sales partner, which includes meeting follow ups, presentations, conference preparations, and sales kits
• Present all TriState’s product offerings to our clients, to help them understand how we complement their business
• Develop, implement, and maintain a drip marketing strategy to stay “Top of Mind” for lending opportunities in the region
• Maintain a deep knowledge of product offerings and be able to conduct one on one meetings with advisors, deliver presentations, as well as conduct joint meetings with external partner in the field

Education and Experience Requirements:

• Bachelor’s Degree in a Finance-related discipline
• 1-3 years of financial services experience, including previous experience in financial sales or client services with demonstrated achievement of goals
• Experience with a CRM platform such as Salesforce
• Experience working in a relationship driven line of business
• Experience working with high net worth clients and top-producing advisors / agents is a plus

Essential Skills and Abilities:

• Excellent communication and interpersonal skills
• General knowledge of insurance, banking, lending, and financial marketplace a plus
• Strong prospecting and customer services skills
• Ability to use independent judgement and critical thinking
• Proficient in MS Office, specifically Excel and Word
• Entrepreneurial: Willingness to make independent decisions and improve processes that contribute to the territory business objectives
• Creativity: Develops innovative ways to demonstrate to our client’s best practices in implementing Tristate strategies and help them identify investment opportunities
• Competitiveness: Motivated by being in a professionally competitive atmosphere
• Curiosity: Interested in understanding capital markets and how individual investors utilize asset management/banking products to achieve their financial goals
• Ethical: Unwavering commitment to doing what is right for the client and for the company