Job Description

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GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firms responses to regulatory examinations, audits and inquiries. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Core Compliance is a team within Global Compliance that is responsible for implementing and maintaining the firm's integrated regulatory compliance program, which includes regulatory change management, policies, training, issue escalation and risk assessments.

RESPONSIBILITIES AND QUALIFICATIONS

Core Compliance is at the forefront of ensuring our firm's compliance program is best in class, factoring in the latest regulatory guidance and industry standards. We are looking for a team member who can help drive our mission forward and collaborate across business units within Compliance, Compliance Engineering, and the firm. We are looking for someone who is equal part visionary and executor. At times, the role will require you to navigate and problem solve with multiple teams and stakeholders bearing in mind timelines and a senior audience.

Principal Responsibilities:

* Lead strategy for enhancing the compliance risk assessment
* Oversee compliance involvement in the Risk and Control Self-Assessment (RCSA)
* Analyze trends in risk assessment results and develop Senior Management presentations
* Implement approach for developing metrics for Compliance controls
* Manage updates to the compliance risk taxonomy
* Partner closely with Compliance Engineering to build requirements and enhance systems
* Liaise within Compliance and Operational Risk to implement strategy
* Respond to regulatory and internal reviews and audits

Qualifications:

* Bachelor's degree required
* Experience with compliance risk assessments and/or risk and control self-assessments
* Minimum of 7 years experience in compliance or risk management in the financial services industry
* Strong project management skills
* Detail-oriented and able to produce quality work product, even when working under tight timeframes
* Comfortable being independent and a self-starter
* Ability to decipher and navigate ambiguous situations with the aim of developing solutions
* MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred
* Excellent oral and written communication skills
* Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment
* Strong project management skills
* Analytical; capable of identifying and distilling relevant information quickly