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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 12 yrs required
Compliance Consultant VI - Regulatory Proponent for Volcker Compliance Program Office The candidate will perform regulatory compliance risk management activities in support of the enterprise-level Volcker Compliance Program, and will ensure compliance with applicable regulatory and internal policy requirements. Will also provide subject matter expertise to trading and funds-related businesses and impacted support group partners on regulation and risk topics. This includes providing credible challenge on LOB and Group risk management activities and preparing reports and analyses that inform senior management regarding the enterprise's compliance with laws, rules, regulations, regulatory guidance, and internal policies and procedures. Provide oversight, guidance and credible challenge for Volcker Rule regulatory compliance risk management activities involving trading and funds-related LOBs. Support the implementation and administration of enterprise-wide aspects of the Volcker Compliance Program, including the Volcker governance framework, enterprise-wide training, management reporting and annual attestations. Conduct regulatory compliance risk assessments and work in conjunction with the RCRM Testing and Monitoring team to perform independent testing and monitoring in accordance with regulatory expectations and best practices. Analyze new products and business activities. Participate in or lead cross-business initiatives to ensure successful implementation of applicable regulatory changes and other required action plans. Build strong partnerships and collaborate effectively with LOBs, other Risk functions, the Law Department, Audit Services and regulatory authorities. Assist team members with ad hoc assignments. As appropriate, assist with the management of regulatory examinations and inquiries, and internal audits of assigned activities. Assist with the development of training materials. Help ensure identified deficiencies are promptly addressed and resolved. Ensure proper and effective communication is in place, and develop additional reporting as necessary. Monitor the regulatory environment and company's compliance regarding assigned laws and regulations. Communicate issues and new developments regarding assigned laws and regulations throughout the compliance community, as necessary. 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.
Qualification and Experience
The candidate should preferably have a Master's or Law degree. Must have 12+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 6+ years should 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) involving trading or funds-related activities. Experience with oversight of bank or securities and/or trading compliance programs and compliance risk assessments required. Should have experience in multiple areas of regulatory compliance risk and risks related to the rules and regulations of the FRB, OCC, SEC, FINRA, CFTC, and/or other federal, state and local laws and regulations. Working knowledge of the Volcker Rule preferred. Experience with activities of a global financial institution desired. Prior regulatory or compliance experience in financial services an asset. Application Deadline: September 14, 2015.
Job ID: 5141686
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