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Risk Assessment Compliance Officer VP The candidate working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at bank through the development and management of strategies that are sustainable and increases the trust of clients. Coordinate, oversee and support completion of compliance risk assessments by working directly with Business Line/Infrastructure Compliance Staff and Business/Infrastructure functions. Overseeing and administering production of compliance risk assessments for Global Markets and Corporate Finance. This includes the following: Ensuring that the rule inventory for the respective areas is complete, accurate and appropriately mapped to business lines/products, and/or compliance risk categories; Analyzing the compliance risk assessment methodology and approach for continuous enhancement opportunities; Analyzing applicable business level one controls, including governance, policies and procedures, and training, and proposing areas of enhanced controls where needed; Providing guidance and effective challenge to Business Line Compliance and relevant Business Lines in conducting compliance risk assessments; Managing compliance risk assessment systems and tools, as well as training users as appropriate; Interfacing with other support functions, including, but not limited to: Operational Risk Management (ORM), Group Audit and Legal; Working collaboratively with other members of the Compliance Department including, the Global Regulatory Compliance Team, Business Line and Infrastructure Compliance, and Compliance Testing; Developing project plans and tracking status of risk assessments throughout their lifecycle to ensure successful and timely completion; and Preparing reports and presentations based on results of risk assessments. Bachelor’s degree or higher in related field of study; law degree or CRCM certification desirable. Should ideally possess strong knowledge and solid understanding of SEC, FINRA, and various exchange rules applicable to bank’s US business lines, in particular Global Markets and Corporate Finance; excellent written and verbal communication skills; a strong work ethic and a passion for high performance; strong presentation skills, self-motivation; high energy; excellent interpersonal skills; managerial experience; proficiency with PC applications and aptitude for learning a variety of systems; the highest standards of integrity and ethical judgment; and 5-7 years relevant compliance experience in Compliance Risk Assessments or other similar Compliance role. Experience in a complex organization working across multiple office locations is preferred. Should have strong time management/project management skills. Must have strong presentation skills, including proficiency with Excel and PowerPoint.
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