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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government / Public Law
Litigation - Whistleblower - CFTC
Min 2 yrs required
Director, Compliance Risk Program Governance Duties: Act in a Compliance Officer capacity to lead and/or manage many of the substantive compliance issues that arise in Corporate Compliance or in the Business Areas. Maintain knowledge of financial industry laws and regulations and provide regulatory expertise in consulting with a diverse group of business leaders and oversee Corporate Compliance staff as they perform compliance duties and/or provide technical advice to Business Areas. Head a team of compliance professionals to assess, enhance and oversee execution of key compliance risk management methodologies within the Corporate Compliance organization. Oversee regulatory environment monitoring and change management, policy governance and monitoring, oversee the compliance second line of defense accountability model, coordinate risk committee activities for Corporate Compliance, maintain compliance issue resolution methodology, and manage Corporate Compliance audit and examination activities. Manage and enhance governance/oversight of key compliance risk management methodologies, tools, and processes, including regulatory change management and policy governance and monitoring. Prepare Board level presentations. Routinely engage with the Chief Compliance Officer and Senior Compliance Officers to continuously improve the Compliance Risk Management Program. Advise and partner with peer compliance risk management professionals to implement and continuously improve the Compliance Management Program. Manage and enhance the Compliance Audit and Exam strategy/function. Design, build and continuously improve transparency of compliance risk oversight over the enterprise via development of a Compliance Committee and second line of defense accountability model. Understand key requirements from external entities such as auditors and regulators. Manage team of compliance analysts. Manage up to 7 people.
Qualification and Experience
Qualifications: Bachelor’s Degree or military experience. 2 years of experience in program governance with a Risk management focus. 5 years of experience in Banking or Financial Services. 2 years of experience in Project or process management. J.D. degree. 5 years of experience in compliance, enterprise risk management, or audit. 1 year of experience in AML Regulations, to include: Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), USA Patriot Act, Customer Identification Program (CIP). Certified Risk Professional, Certified Regulatory Compliance Manager. 5 years of program governance with a Risk management focus. 10 Years of experience in Banking or Financial Services.
Ref-766309
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