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Years of Experience
Date Last Verified
ProfileCompliance Officer - Regulatory Risk Management and Reporting Duties: Manage the implementation of the US CM RCM, including coordinating with global partners to ensure consistency of RCM across regions. RCM is inclusive of the following: Regulatory Change Monitoring and Reporting – Manage the regular review, risk assessment, and reporting of regulatory changes. Regulatory Risk Assessments and Control Documentation – Manage coordination of annual regulatory risk assessments of business lines, including documentation of 1st and 2nd line of defense controls and mitigation efforts. Senior Management Compliance Reporting – Manage the preparation of various senior management reports including: Oversee reporting globally for the Capital Markets segment with respect to: Quarterly Compliance Reports Capital Markets Operating Committee Reports IHC Board Report (coordinated by IHC Compliance) RBC Board report (coordinated by Enterprise Compliance) Oversee reporting locally for: Quarterly US Reports (Oversight & Operating Committee, CCM, LLC Board Report). Annual Compliance Report for CCM, LLC & CMA SA US Capital Markets Compliance Reporting: Develop and produce escalation reporting for use within US Capital Markets Compliance. Regulatory commitments (Issue Track) Coordinate with global counterparts and IHC Compliance on development of accurate and consistent reporting. Tracking Internal and External Audit and Regulatory Issues – Review and approve reporting of audit and regulatory issues into the Issue Track, issue management system. Policy & Procedures Manage process for ensuring local policies and procedures are updated on a timely basis and meet the standards expected by regulators and the Enterprise. Oversee implementation of a more user-friendly intranet-based framework for WSPs and Compliance Manual. Represent US Capital Markets in efforts to update various CM, global and Enterprise policies, as necessary, and develop requisite training. Also, serve as US Capital Markets contact to ensure that changes to Enterprise Compliance policies are reflected in US Compliance policies and procedures. Monitor significant regulatory developments and implement necessary changes. Manage schedule for recurring US Compliance Alerts and write Compliance Alerts, as necessary. Government Interactions Manage adherence to the CM policies governing gifts & entertainment to government officials/employees, including managing requests requiring Compliance approval, and associated record keeping. Coordinate efforts for responding to client and other (e.g., RFP) requests for gift and entertainment expenditures. Advise on various gift and entertainment-related matters pertaining to speaker vetting, planning of sponsored conferences and large scale entertainment events. Advise on political contributions and interactions with government officials. Advise on issues related to lobbyist registration and reporting Gifts & Entertainment Manage adherence to the CM policies governing gifts & entertainment to external parties, including managing requests requiring Compliance approval, and associated record keeping. Advise on various gift and entertainment-related matters pertaining to speaker vetting, planning of sponsored conferences and large scale entertainment events.
Qualification and Experience
Qualifications: BA/BS Degree or equivalent. JD Degree; and Project Management Certifications plus. 10+ years Compliance and/or regulatory experience. Strong project management skills. Detailed understanding of compliance issues for broker-dealers.
Req ID: 138529