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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 10 yrs required
Compliance Consultant V The candidate will be responsible for conducting regulatory compliance risk management oversight for multiple high risk compliance programs, providing subject matter expertise to businesses and support group partners on select regulations and risk topics, and providing regulatory compliance risk expertise and consulting for projects to identify and mitigate regulatory compliance risk. In addition, the candidate may also support Proponency efforts including providing credible challenge on LOB risk management activities and preparing analyses that help inform senior management on the enterprise’s performance in complying with laws, rules, and regulations. Fulfill regulatory compliance oversight role for assigned programs and may also support proponent functions. Provide oversight, guidance and credible challenge for assigned regulatory compliance risk management activities. In consultation with the Law Department, maintain an understanding of major requirements in light of changes in the internal and external regulatory environment. Provide credible challenge to line of business/group regulatory compliance risk management activities by performing consistent reviews of the associated activities (e.g., risk assessment and analyses, policies, procedures, corrective actions). Possess and demonstrate compliance expertise and perform effective assessment of assigned responsibilities. Fulfill operational risk tool requirements and use tools and reporting in conducting risk analysis. Support cross-business regulatory information requests, examinations and audits. Participate in or lead cross-business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Perform applicable administrative duties to fulfill scope of responsibilities. Build strong partnerships and collaborate effectively with business, enterprise risk, law department partners and regulatory authorities. Assist team members with ad hoc assignments.
Qualification and Experience
The candidate should ideally have Master’s Degree, Law Degree or Examiner Commission. Must have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which at least 5 years must include direct experience in compliance or 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). Should have 10+ years of experience in Audit, Compliance and/or Regulatory Risk Management. 7+ years of direct experience in Fiduciary/Asset Management Compliance is required. Should have expertise in banking regulations, most importantly those laws and regulations associated with execution of fiduciary activities including, 12 CFR 9, ERISA, and SEC Rules. Experience in working with banking regulators is needed. Must have experience with overseeing bank supervision strategy or compliance programs. Should have demonstrated ability to build effective partnerships with multiple stakeholders and effectively communicate assessment results and recommendations. Previous regulatory or compliance experience in financial services is preferred. Understanding of regulatory requirements applicable to financial institutions, particularly fiduciary law and regulation is a plus. Experience with overseeing projects/work flow across a global institution is desired.
Job ID: 5012741.
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