Job Title: Compliance Officer AVP - Advisory
Job Responsibilities:
- Provide expert oversight and challenge on compliance risks and regulatory requirements to ensure the company operates within legal, regulatory, and ethical standards.
- Identify and assess compliance risks through thorough reviews of business activities, changes, processes, testing, and systems.
- Investigate potential market abuse, including Insider Dealing, Unlawful Disclosure, Market Manipulation, or Anti-Competitive Conduct.
- Conduct investigations of compliance risk events or breaches and oversee corrective actions and preventative measures.
- Implement compliance policies and procedures in line with regulatory requirements, ensuring alignment with international standards and jurisdictional requirements.
- Collaborate with various teams, including 1LOD, relevant compliance teams, legal, and risk management functions to facilitate comprehensive compliance and risk management.
- Identify, investigate, and oversee potential money laundering, terrorist financing, or other financial crimes.
Assistant Vice President Expectations:
- Advise and influence decision-making, contribute to policy development, and take responsibility for operational effectiveness.
- Lead a team performing complex tasks, using well-developed professional knowledge and skills to impact the entire business function.
- Set objectives, coach employees, appraise performance relative to objectives, and determine reward outcomes.
- Demonstrate leadership behaviors to create an environment for colleagues to thrive and deliver consistently excellent standards.
- Consult on complex issues, providing advice to People Leaders to support the resolution of escalated issues.
- Identify ways to mitigate risk and develop new policies/procedures in support of the control and governance agenda.
- Manage risk and strengthen controls in relation to the work done.
- Engage in complex analysis of data from multiple sources to solve problems creatively and effectively.
- Communicate complex information, including sensitive or difficult-to-communicate content.
- Influence or convince stakeholders to achieve outcomes.
Education and Experience Information:
- Experience with compliance advisory guidance, risk management, and regulatory oversight.
- Experience advising on marketing collateral, initiatives, and campaigns, including new product review and day-to-day product guidance.
- Experience reviewing marketing materials and other customer-facing collateral to ensure compliance with applicable laws and the company's Compliance Risk and Reputation Risk framework.
- Active engagement with key initiatives and programs to ensure compliance requirements are implemented.
- Experience with consumer protection regulations from a compliance advisory perspective (., ECOA, TILA, FCRA, UDAAP, Can-Spam).
- Ability to analyze business processes, identify compliance risks, and recommend improvements.
- Stakeholder management and excellent verbal and written communication skills.
- Bachelor's or Master's degree in Law, Finance, Business, or a related field.
Salary Information:
- Not specified in the text.
This role requires adherence to the company's Values of Respect, Integrity, Service, Excellence, and Stewardship, as well as demonstrating the company's Mindset to Empower, Challenge, and Drive. The position is based out of Wilmington, DE, and involves collaboration with key stakeholders to strengthen regulatory frameworks and ensure adherence to US regulatory compliance requirements.
