The company is looking to establish internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.
Requirements
- Expertise of Compliance laws, rules, regulations, risks and typologies (FINRA, SEC)
- Advanced knowledge in area of focus
- Awareness of regulatory requirements including local and US laws, international and industry standard
- Related certifications desirable
- Business Acumen
- Credible Challenge
- Laws and Regulations
- Management Reporting
- Policy and Procedure
- Program Management
- Referral and Escalation
- Risk Controls and Monitors
- Risk Identification and Assessment
- Risk Remediation
Responsibilities
- Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM
- Providing expert guidance on function/business/product regulations on a real-time basis to manage compliance risk
- Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product
- Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
- Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
- Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit
- Designing and lead compliance and control reviews
Other
- Excellent written, verbal and analytical skills
- Must be a self-starter, flexible, innovative and adaptive
- Highly motivated, strong attention to detail, team oriented, organized
- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
- Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
- Experience in managing regulatory exams and relationships with examiners, auditors, etc.
- Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus
