Search using our robust engine. Get the recommendations you need to get ahead.
Browse through our expansive list of legal practice areas.
Work where you are or where you would like to be. Find where you will work with LawCrossing.
Use our marketplace to feature your opportunity
Start your search today
Set up your account and manage your company profile on LawCrossing
Look through and compare company profiles
Learn from the legal expert
Discover salaries and the scope of your next job
LawCrossing Works Read Testimonials and Share your Story
Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 3 yrs required
Compliance Consultant IV The candidate will maintain/update charter of the Regulatory Compliance Risk Management Committee (RCRMC) committee. Will administer the RCRMC, including creating monthly agendas, communications to committee members, follow-up on action items, production and distribution of RCRMC Open Regulatory Issues and Corrective Actions Report. Run and prepare minutes for the RCRMC meetings. Review and edit presentations produced by RCRM functions to ensure the high quality of RCRM reporting to senior management, Board committees and governance forums. Prepare regulatory compliance risk management reports for senior stakeholders, including the RCRMC, Enterprise Risk Management Committee and the Audit and Examination, Risk and Corporate Responsibility Committees of the Board. Develop and produce periodic and ad hoc reporting from the Centralized Issue and Corrective Action Tracking system (CICAT), a module of firm’s Operational Risk Reporting Platform. Develop and maintain metrics and key risk indicators for regulatory compliance risk and implement a process to support enterprise wide reporting and monitoring. Assist the Head of Governance to develop, document and maintain a governance methodology that is objective, consistent, and transparent when preparing senior stakeholder reports. Document and maintain procedures for administration of the RCRMC and other governance and reporting functions. Administer and support communication channels and RCRM governance forums to appropriately identify and escalate regulatory compliance risks. Partner effectively with various risk management and compliance team members across firm to collaborate on risk management initiatives. Enhance, maintain and update the RCRM SharePoint site to keep team members abreast of RCRM announcements, tools and resources, including the RCRM Operating Manual.
Qualification and Experience
The candidate should preferably have a Bachelor’s degree and Master’s Law Degree. Should have 6+ years of experience in compliance, operational risk, IT systems security, business process mgmt, or financial services, of which 3+ 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). Also 1+ years of governance or regulatory compliance experience in financial services is preferred. Experience with overseeing projects/work flow across a global institution is desired. Knowledge of and experience with SharePoint desired. Working knowledge of CICAT, ORR/ORIS, RCSA and/or CRAS a plus. Microsoft Office application proficiency (Word, Excel, PowerPoint) preferred. Understanding of regulatory requirements applicable to financial institutions needed. Deadline: December 26, 2014
Ref: 5067316
Sign Up Now