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In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 10 yrs required
Compliance Consultant 5 - New and Modified Product and Service Oversight The candidate will be responsible for defining, establishing and supporting the second line of defense processes for new and modified product and service oversight activities RCRM team members execute. Specific expectations for this position include: Establish and maintain RCRM procedures, guidance, and/or templates as needed to support consistent assessment activities, commensurate with the risk and complexity of proposed products and services. Develop reporting to maintain an enterprise view of new and modified products and services with regulatory compliance impact; inform the DCCOs and their teams of pending initiatives and related risk. Oversee RCRM new product assessment activities. Partner with partner operational risk teams on new product risk tool enhancements and processes. Provide training and ongoing support on new product risk tools. Support regulatory exams and internal audits. Participate in the development and evolution of oversight processes and tools the team uses.
Qualification and Experience
A Masters of Business Administration (MBA) or Juris Doctor (JD); experience working in a large enterprise environment; certified Internal Auditor (CIA) and an active Certified Regulatory Compliance Manager (CRCM) designation would be desired. Experience in working with banking regulators; Previous regulatory or compliance experience in financial services; demonstrated ability developing implementing and/or overseeing effective compliance programs, or the equivalent (e.g., Regulatory Compliance, Internal Audit programs, etc.); demonstrated ability in developing and conducting new product oversight and compliance risk assessment activities; Prior experience and/or working knowledge of the company’s risk tools (Product & Service Risk Management Tool) and experience in Consumer Lending and/or in a Retail or Institutional Brokerage environment would be desired. Should have 10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both. Advanced Microsoft Office skills are preferred. Deadline: 09/05/2016.
Ref: 5270670.
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