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Years of Experience
Date Last Verified
Senior Regulatory Compliance Manager Duties: Lead the Regulation W/O program of the Bank by providing advice and consultation to senior business leaders regarding nuanced Regulation W/O regulatory requirements. Oversee and manage staff that performs detailed analyses of complex affiliate transactions involving the global institution and worldwide affiliates. Provide advice and guidance to senior leaders regarding the business risk assessments. Establish comprehensive and effective Regulation W/O internal controls based on regulatory requirements and major compliance obligations. Interact directly senior business leaders and regulators regarding the Regulation W/O Compliance Program and in response to regulatory examinations and routine requests for information. Provide advice and guidance to business leaders on the development of remediation plans to address internal audit and other findings regarding compliance with Regulations W and O. Lead Regulation W/O project initiatives to enhance the internal control environment. Provide thought leadership in the development of enterprise Regulation W/O policies and procedures, and oversee a team that works with business unit risk and control officers to implement cascading policies and procedures. Establish second line of defense monitoring requirements for compliance with Regulations W and O. Lead a staff that works in partnership with business unit risk and control officers to ensure a robust first line of defense for Regulation W/O Compliance. Chair the Regulation W Sub-committee of the Executive Compliance Committee. Design new processes to improve efficiencies and mitigate Regulation W/O risk. Provide leadership on Regulation W/O issues within the Compliance Department and across the Bank. Act as the voice of the Compliance Department on Regulation W/O issues in interactions with the Legal, Risk, Finance and other Departments. Oversee the creation of Regulation W/O management and Board reports, and deliver such reports.
Qualification and Experience
Qualifications: Bachelor’s Degree Required. Law Degree or Master’s Degree in Business Administration, Finance or related field strongly preferred. 10+ years of combined Legal/Compliance experience. 3+ years of Regulation W experience. Strong working knowledge of banking regulations and subject matter expert in Regulations W/O. Strong writing skills, including ability to draft policies and procedures clearly and concisely. Strong analytic ability and oral communication skills. Strong managerial skills. Self-motivated and able to work independently. Able to grasp and translate complex and theoretical concepts into practice. Able to multitask and work effectively in a deadline driven environment.
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