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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
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 4 - Compliance Monitoring and Testing Manager - RCRM - Brokerage Business Duties: Regulatory Compliance Risk Management (RCRM), the corporate compliance function, safeguards the company by ensuring that all businesses abide by applicable rules, laws, regulation and internal policy as well as manage regulatory risks and meet compliance responsibilities. RCRM serves as a second line of defense by providing independent oversight and coordination of business-based regulatory compliance risk management activities by working in conjunction with the groups/lines of business (LOBs) and other corporate risk management programs to help ensure proper execution of regulatory compliance and internal requirements. RCRM partners with the Company's LOB/Group risk and compliance functions as well as the other enterprise risk management programs to perform its oversight function effectively. Candidate will lead a team, focused on the 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. He or she 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. Specific duties for this position include: Plan and execute compliance reviews according to the established review schedule and on an ad hoc basis, if necessary. 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, as appropriate. 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 & Testing Director and other senior executives. As appropriate, assist with the management of regulatory examinations and internal audits of assigned activities. As appropriate, respond to regulatory inquiries. As appropriate, 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. Qualifications requirements: 10+ years in Audit,compliance, operational risk, IT systems security, business process mgmt 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 mgmt. of a process or business with accountability for compliance or operational risk). 5+ years of management experience. 10+ years of Brokerage industry experience. 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. Ability to lead an effective team using personnel management techniques such as timely and clear communication of expectations, performance development plans and recognition practices. Computer skills in MS Office applications. Preferred Qualifications: Bachelor s, Master s, or Law Degree preferred. Series 7, 9/10 or 24 licenses. Experience with overseeing projects/work flow across a global institution. Experience with a global financial institution or Big 4 accounting firm.
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