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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Finance - Banking
Litigation - Whistleblower - CFTC
Min 10 yrs required
General Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Compliance Manager IV - Compliance Monitoring and Testing Manager - RCRM - Brokerage Business The candidate will lead a team, focused on Company's Brokerage businesses and operations, of subject matter experts with a comprehensive understanding of effective internal controls and other risk mitigation strategies who will conduct testing and monitoring. Will be responsible for planning objectives and scope for multiple reviews as well as identifying issues, determining corrective actions, writing and editing reports, and tracking timely corrective actions. Plan and execute compliance reviews according to the established review schedule and on an ad hoc basis. Test and verify compliance with applicable compliance-related internal policies and external requirements leveraging existing risk assessment processes to direct resources. Through compliance testing and monitoring, evaluate internal controls and identify deficiencies and anticipate and provide solutions to complex issues. Work with line of business and group compliance and risk management teams to agree on corrective actions to strengthen both preventive and detective internal controls. Make recommendations to improve deficiencies. Ensure identified deficiencies are promptly addressed and resolved. Write reports or presentations that clearly articulate testing results that will be issued to various stakeholders across the company. Lead or assist in investigation and reporting of issues, as needed, conducting inquires, obtaining and reviewing necessary documents and interviewing personnel. Assist on compliance projects. Work collaboratively with internal and external stakeholders. Maintain an understanding of business operations and regulatory guidance/expectations. Anticipate changes in the internal and external environment and adapt the testing program accordingly. Provide compliance support and guidance during risk assessment processes and state of compliance reporting. Develop and administer a compliance monitoring and testing methodology and framework to meet regulatory expectations. Administer the compliance monitoring and testing framework and present results to the Chief Compliance Officer, Compliance Monitoring and Testing Director and other senior executives. As appropriate, assist with the management of regulatory examinations and internal audits of assigned activities. Respond to regulatory inquiries. Assist with the development of training materials. Work collaboratively across groups/LOBs and with other risk management teams. Work with senior management, Law Department and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. Ensure proper and effective communication (including developing reporting) is in place. Develop effective working relationships will team members while distinguishing self as a leader. The candidate should preferably have a Bachelor's, Master's, or Law Degree. Series 7, 9/10 or 24 licenses needed. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 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). Must have 5+ years of management experience. Also 10+ years of experience in Audit, Compliance, Legal and/or Regulatory Risk Management needed. Also 10+ years of Brokerage industry experience essential. Also 5+ years of management experience in the securities compliance/risk environment desired. Experience with overseeing projects/work flow across a global institution essential. Experience with a global financial institution or Big 4 accounting firm needed. Experience in multiple areas of regulatory compliance risk and risks related to the consumer protection and general banking and securities rules and regulations of the OCC, FRB, SEC, FINRA, CFTC and other federal, state and local regulations and laws needed. Deadline: August 13, 2014.
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