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Job Description:
Job Description:
This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
Responsibilities:
Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks
Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage
Required Skills:
Monitoring, Surveillance, and Testing
Regulatory Compliance
Reporting
Advisory
Risk Management
Issue Management
Policies, Procedures, and Guidelines Management
Interpret Relevant Laws, Rules, and Regulations
Critical Thinking
Influence
Business Process Analysis
Process Management
Decision Making
Negotiation
Written Communications
Minimum Years of Business & Functional Experience: 7 years
Degree Required: Bachelor’s Degree
May require regulatory examination/registration or certification depending on jurisdiction and role
Desired Skills:
Additional Technical/Functional Experience (e.g. Industry type): Financial Services or similarly regulated sector
Networking
Dedicated resource needed to support Global Technology Network Services. In addition to risk related qualifications above, the ideal candidate should have a background in networking technologies. This includes an understanding of network services and architectures. Hands on experience with deployment of physical hardware (firewalls, load balancers, routers, switches), troubleshooting, monitoring and disaster recovery is a plus.
Communicates and Influences with Impact:
Communicates complex ideas in a way that is clear, direct, concise, simple and contextual; avoids jargon
Shapes the opinions and actions of others, gaining trust & commitment for desired outcomes
Adjusts style and personalizes message to best connect with others; inspires others to follow his/her lead
Constructively challenges; supports opinion and recommendations with facts and data
Shares opinion with confidence; is persistent and tenacious for what is right
Demonstrates productive edge, appropriately voicing and challenging opinions
Demonstrates productive partnering with various stakeholders across the enterprise at all levels
Role models effective communication and influence; develops others on this skill
Demonstrated Business Acumen:
Deep understanding of the organization's overall strategies and how the business operates
Deep understanding of what drives success through subject matter expertise of the products, customer and channels leveraged within the FLU
Identifies and influences business improvements and solutions - Proactively engages team/peers to transfer knowledge of the business
Makes tough business decisions
Demonstrated behaviors may include but are not limited to:
Demonstrates the ability to remain flexible and adaptable in order to learn/apply new concepts and stay current on emerging trends (i.e. new technology)
Asks questions in an effort to understand, drawing connections and similarities in order to frame new challenges/opportunities; leverages information to take calculated risks
Proactively brainstorms and researches a wide range of options to find the best solutions to address opportunities
Proactively engages others for feedback as an opportunity to drive improvement (for self and the business)
Delivers Results Through Management & Operational Excellence:
Demonstrates a deep understanding of owned processes and continually seeks opportunities to simplify and improve
Leads the execution of strategies through establishing clear accountability for self and the team
Raises performance expectations through planning and establishing routines to ensure goals are achieved
Proactively identifies and removes barriers
Leads change and gets team and key stakeholders on board
Delivers Second-Line Risk Management:
Commanding knowledge of the Compliance & Ops Risk Program and its application to daily work activity and team priorities; educates others
Commanding knowledge of how laws, rules and regulations apply to businesses, functions, products, jurisdictions and/or the enterprise and stays current on changes; educates others
Understands and educates others on the business processes (design through execution), the role of effective controls and the potential impact to operational losses
Directly or via a team, assesses for and identifies compliance and operational risks in the activities of a FLU/ECF or the Company (EAC) through monitoring, assessment and testing activities
Directly or via a team, documents, analyzes, reports and escalates as needed risk issues (e.g., control weaknesses, violations, metric breaches); synthesizes the data for emerging trends or systemic issues
Directly or via a team, drives the mitigation of compliance and operational risk through means such as policy reviews and updates, issue remediation/action plans, and training needs; determines approach and possible solutions
Communicates risks and issues concisely, clearly and timely; drives transparency and accountability with appropriate parties
Executes risk governance and management routines
Ensures compliance and operational risks are considered in business activities, including product development and business process changes; uses risk lens when advising the business
Escalates risks not being mitigated in a timely manner to appropriate leaders and senior management, regulators and Board of Directors as warranted
Demonstrates Analytical Capabilities:
Leads analysis integrating facts, data, and information to draw accurate conclusions in order to identify root cause
Leverages internal/external perspectives and benchmarking to identify potential solutions
Develops useful and realistic alternative solutions to problems; selects the best course of action based on pros, cons, timing, and available resource
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