The position requires a person who can work autonomously in a fast paced, highly demanding, and often changing environment, while maintaining attention to detail. The role requires the ability to manage compliance and regulatory related projects, working cross-functionally.
Key activities include:
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
- Providing guidance on rules and regulations relating tofunction/business/productoperational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- Assisting with regulatory inquiries and/or examinations. This may include coordination with regulators and other parties.
- Collaborating with other internal areas including: Legal,Business Management,Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supportedfunction/business/product.
- Supporting thefunction/business/productin performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the supportedfunction/business/product.
- Researching any new reform rules and rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
- Additional duties as assigned.
Knowledge, Skills, and Experience:
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Strong written and verbal communication and interpersonal skills
- Ability to both work collaboratively and independently; ability to navigate a complex organization
- Advanced analytical skills
- Ability to both work independently and collaborate with team members
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Demonstrated knowledge in area of focus
Education:
- Bachelor’s degree or equivalent experience; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements; Advanced degree preferred
- MBA or JD a plus
Compliance and ControlProduct Compliance Risk ManagementFull timeNew York New York United States$142,320.00 - $213,480.00
Anticipated Posting Close Date:
Jul 14, 2024View the " " poster. View the .
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