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Years of Experience
Date Last Verified
ProfileGlobal Compliance - Global Compliance Policy Group - Policy Associate The candidate plays a critical role in the successful execution of the firm's compliance mission. Will be responsible for overseeing the review and rationalization of the Compliance policy inventory, tracking policy metrics, establishing and enhancing policy reporting and supporting other strategic initiatives as they arise. Work with policy owners and authors throughout the policy lifecycle (i.e., development, review, amendment, approval, retirement) to promote adherence to the established policy template and policy governance process. Help Line of Business and Regional Compliance Officers ascertain policy needs and determine appropriate documentation (e.g., policy, procedure, guidance). Assist with determination, assignment and reassignment of policy ownership as required. Serve as primary author/editor (not subject matter expert) for policies to ensure consistency of both content and “look and feel”. Review policies for consistency with related policies and oversee and rationalize policy inventory across LOBs / Regions. Help manage assessment of policy content against Legal Obligations. Assist policy owners in identifying key stakeholders and completing the policy approval process. Contribute to policy training initiatives, new technology roll-out and other group initiatives as they arise. Contribute to strategic initiatives. Must have Bachelor or higher degree in finance, accounting, computer science, or a related discipline. J.D. Preferred. Should have 3 years experience in Compliance, Risk or Audit activities, preferably within the financial services industry. Past experience working with business and technology partners on designing and delivering enhanced technology solutions are needed.
Req #: 170042300