Corporate Attorney in Concord, NC

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Compliance Manager IV The candidate will lead Central Compliance team, responsible for key aspects of the IG CORM Compliance programs including, Policy Program; Audit and Exam Coordination Program and Emerging Risk and Governance. Will be responsible for leading eight professionals across three teams and will report to the Chief Administrative Officer of IG CORM GTFx. In addition to the continuous enhancement existing compliance programs, also be accountable for developing the IG CORM FATCA program. As a senior leader in the IG CORM group, the Head of Central Compliance will interact with a variety of levels of management and will be expected to build and maintain strong relationships and be viewed as a trusted partner by a broad cross-section of stakeholders. Lead, engage and develop a multi-located team of highly effective compliance professionals. Ensure the successful implementation of the new enterprise Regulatory Compliance Risk Management (RCRM) policy and all related Components and activities by the established deadline across all GTFx teams. Develop and oversee appropriate regulatory compliance policies, processes, and systems to meet regulatory expectations and protect the interests of International Group with respect to various regulations and line of business compliance programs. Maintain credible challenge to compliance programs and establish effective oversight processes thereto. Continuously enhance governance around regulatory Major Requirements and establish standards across our line of business compliance programs, including risk and control environment evaluation. Work with key stakeholders across the enterprise and IG to establish an International Group FATCA compliance program. Continuously diagnose the effectiveness of our processes through tools such as process mapping. Provide subject matter expertise and guidance to line of business compliance professionals on enterprise regulations and policies affecting businesses. Continuously track the regulatory environment and provide advisory services to line of business compliance officers on emerging and/or anticipated risks, including the regulatory environment and industry trends. Maintain linkage to appropriate Wholesale Operational Risk and Compliance oversight teams and serve as liaison to line of business compliance officers.

Qualification and Experience

An Advanced degree (MBA or J.D.); Certified Regulatory Compliance Manager (CRCM) is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process mgmt 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). 5+ years management experience is needed. Strong knowledge of the company risk management framework and associated tools (CRAS+, CICAT, RCSA, etc.) is needed. Should have experience with overseeing large-scale, complex regulatory compliance projects/work flow across a global institution. Previous experience as an examiner in a financial services regulatory agency is preferred. Should have previous experience as a regulatory proponent or oversight consultant within company. Must have previous experience in compliance testing or audit function within a large financial services firm. Should have ability to lead an effective team using personnel management techniques such as timely and clear communication of expectations, performance development plans and recognition practices. Must have deep experience with the risk assessment and controls evaluation. Should have extensive experience in leading the coordination of audit and regulatory exam activity. Must have broad subject matter experience across a wide range of banking regulations. Should have demonstrated ability to operate in a complex and matrixed environment. Must have ability to build effective partnerships with multiple stakeholders at all levels within the organization. Strong written and oral communication and presentation skills are needed. Must have understanding of regulatory requirements applicable to International Group lines of business.

Additional info

ReF - 5139559.

Company info