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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government / Public Law
Litigation - Whistleblower - CFTC
Min 10 yrs required
Regulatory Compliance Monitoring & Testing Manager- Institutional & Retail Brokerage Duties: Develop, plan and perform compliance reviews that independently evaluate the adequacy, comprehensiveness and effectiveness of Institutional/LOB compliance monitoring and testing functions. Periodically, or on an as-needed basis, evaluate Institutional/LOBs’ adherence to applicable internal policy requirements. Identify deficiencies and recommend solutions to complex issues. Work with Institutional/LOB compliance risk management teams to agree on corrective actions to strengthen monitoring and testing programs. Ensure identified deficiencies are promptly addressed and effectively resolved. Write reports or presentations that clearly articulate the results/conclusions of compliance review activities and communicate to key stakeholders across the company. Lead or assist in investigating and reporting issues, as needed, conducting inquires, obtaining and reviewing necessary documents and interviewing team members, as appropriate. Assist on compliance projects. Work collaboratively with internal and external stakeholders. Maintain an understanding of the RCRM Framework and the interconnectivity of its key components. Maintain an understanding of business operations and regulatory guidance/expectations. Anticipate changes in the internal and external environment and adapt the monitoring and testing program accordingly. Provide RCRM guidance during risk assessment processes and state of compliance reporting. Present results to the Chief Compliance Officer, Compliance Monitoring & Testing Director and other senior executives. 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.
Qualification and Experience
Qualifications: Preferred: Bachelor’s, Master’s, or Law Degree preferred. CRCM certification. 10+ years 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 mgmt. of a process or business with accountability for compliance or operational risk). 5+ years management experience. 10+ years in Audit, Legal and/or Compliance Risk Management, including experience performing audit reviews and/or independent compliance monitoring and testing activities and compliance risk assessments. 5+ years of combined experience in the Institutional and Retail Brokerage compliance/risk environment, including management experience. Experience in multiple areas of regulatory compliance risk and risks related to the general banking and securities regulations of the OCC, FRB, SEC, FINRA and other federal, state and local regulations and laws. Experience with overseeing projects/work flow across a global institution. Experience with a global financial institution or Big 4 accounting firm. Ability to lead an effective team using personnel management techniques such as timely and clear communication of expectations, performance development plans and recognition practices. Ability to operate in a complex and matrixed environment. Ability to devise and drive effective approaches and centrally manage risks, where appropriate, in collaboration with the Groups/LOBs and support functions. Ability to discern risk and influence risk management practices. Ability to multi-task and meet deadlines despite competing priorities. Ability to build effective partnerships with multiple stakeholders at all levels within the organization. Demonstrated ability to work independently, self-starter and highly motivated to work in a fast paced and changing environment. Detail and task oriented. Written, presentation and oral communication skills. Ability to motivate at all levels. Computer skills in MS Office applications.
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