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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
Enterprise Regulations Compliance Consultant 5 - Notary/Affiant and E-Sign Duties: Responsible for overseeing and assessing adherence to assigned laws, rules, regulations and regulatory guidance including, developing, revising, and implementing policies and procedures to ensure compliance across the company, ensuring appropriate reporting, ensuring proper escalation and resolution of identified issues, and potentially leading a small team of other Regulatory Proponents. Regulatory Proponents provide credible challenge to LOB regulatory compliance risk management activities and prepare analyses that help inform senior management on the enterprise’s performance in complying with laws, rules, regulations, and regulatory guidance. Regulatory Proponents also provide advice and support to the LOBs as subject matter experts for assigned regulatory sources (laws, rules, regulations, and regulatory guidance) and internal directives (internal policies). Manage a portfolio of regulations (likely Notary/Affiant, E-sign, and Intercept or Recording of Communications) and fulfill Regulatory Proponent responsibilities. May lead a small team of other Regulatory Proponents. Provide oversight, guidance and credible challenge for assigned regulatory compliance risk management activities. Maintain an understanding of Major Requirements in light of changes in the internal and external regulatory environment, in consultation with the Law Department. Perform enterprise-wide process mapping for assigned regulations. Provide credible challenge to LOB regulatory compliance risk management activities by performing consistent, enterprise-wide horizontal reviews of the associated activities (e.g., risk assessment and analyses, policies, procedures, corrective actions). Possess and demonstrate regulatory compliance expertise. Perform enterprise assessment of assigned regulations. Use Corporate Risk tools and reporting in conducting risk analysis. Support cross-business regulatory examinations and audits. Participate in or lead cross-business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Perform applicable administrative duties to fulfill scope of responsibilities. Build strong partnerships and collaborate effectively with LOB, group, Corporate Risk, Law Department partners and regulatory authorities. Assist team members with ad hoc assignments.
Qualification and Experience
Qualifications: Master’s or Law Degree preferred. 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). Previous regulatory or compliance experience in financial services. Understanding of regulatory requirements applicable to financial institutions, particularly E-Sign, Notary/Affiant, and Intercept or Recording of Communications. Experience with overseeing projects/work flow across a global institution. Expertise in banking regulations. Experience in interacting with banking regulators. Experience with overseeing bank supervision strategy or compliance programs. Demonstrated ability to build effective partnerships with multiple stakeholders and effectively communicate assessment results and recommendations. Demonstrated ability to work independently. Strong written and oral communication skills. Strong interpersonal skills.
Ref. 5073686
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