Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
Senior Compliance Officer The Candidate will be responsible for perform detailed analyses of complex affiliate transactions involving the global institution and worldwide affiliates. Work independently to evaluate business risk assessments and establish effective Regulation W internal controls based on regulatory requirements and major compliance obligations. Interact with regulatory examiners and other staff in responding to regulatory examinations and routine requests for information. Develop remediation plans in partnership with business leaders to address internal audit and other findings. Lead Regulation W project initiatives to enhance the Regulation W control environment. Work with business unit risk and control officers to implement policies and procedures in alignment with enterprise policy. Partner with business unit risk and control officers to ensure a robust first line of defense for Regulation W Compliance. Perform daily Regulation W activities such as evaluation of routine affiliate transactions. Work with the Regulation W Compliance Manager on other Regulation W projects as needed.
Qualification and Experience
The candidate should have Bachelorâ€™s Degree Required. Law or Masterâ€™s Degree in Business Administration, Finance or related field strongly preferred. Must have 7 + yrs. combined Legal/Compliance experience and 2+ yrs. of Regulation W experience. Should have strong working knowledge of banking regulations and subject matter expert in Regulations W with strong writing skills, including ability to draft policies and procedures clearly and concisely. Must have strong analytic ability and oral communication skills with 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.
Ref No: 039174
Company infoHiring Coordinator