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Government Public Attorney in Rumson, NJ

Wells Fargo Dec 19,2014 Location Rumson NJ
This job is expired...

In-House

Attorney

Government / Public Law

Litigation - Whistleblower - CFTC

Min 5 yrs required

Profile

Compliance Consultant 5 The candidate will be responsible for conducting regulatory compliance risk management oversight and testing for high risk, complex regulations (specifically, the Volcker Rule) to assure compliance with applicable all regulatory and internal policy requirements. Will provide subject matter expertise to trading and funds-related businesses and impacted support group partners on regulation and risk topics. 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 business, enterprise risk, Law Department partners and regulatory authorities. Assist team members with ad hoc assignments. 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. Monitor the regulatory environment and the bank’s compliance regarding assigned laws and regulations. Communicate issues and new developments regarding assigned laws and regulations throughout the compliance community. 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

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). 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. 10+ years in compliance, operational risk, IT systems security, business process management 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 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 compliance programs and compliance risk assessments. Experience with activities of a global financial institution; and regulatory or compliance experience in financial services preferred. Demonstrated ability to build effective partnerships with multiple stakeholders and effectively communicate assessment results and recommendations. Demonstrated ability to work independently, a self-starter and highly motivated to work in a fast paced environment. Ability to apply critical thinking skills to end-to-end business processes. Strong analytic skills. Strong written and oral communication skills. Strong interpersonal skills. Strong data analytic and reporting skills. Ability to operate in a complex and matrix environment. Ability to multitask and meet deadlines despite competing priorities. Ability to interact with all levels of management within the organization. Ability to respond quickly to changing job demands. Ability to lead an effective team using personnel management techniques such as timely and clear communication of goals and performance expectations.

Additional info

Job ID: 5063528

Company info