AVP Compliance Risk Review
Main Function
Opportunity to join the Global Compliance Risk Review team (“CRR”) supporting the Compliance Risk Review Program for the Americas. The CRR program is designed to independently assess and report on areas of potential reputation or regulatory risk by verifying business understanding and testing compliance with relevant regulations and policies. In the U.S, the CRR team will be primarily responsible for evaluating compliance with Firm policies and procedures in accordance with relevant regulatory requirements including, without limitation, NYSE Rules 342 and 343, NASD Rules 3010(c) and 3012, as well as U.S. banking laws.
Main Duties
- Plan for and manage compliance reviews according to the established review schedule and ad hoc regulatory / business commitments;
- Planning for review scope, budget and testing approach
- Performing on-site compliance reviews to:
- Validate compliance against established policies and procedures and applicable regulations;
- Develop recommendations for corrective action based on review findings;
- Work with business compliance officers and management to agree on appropriate action plans
- Present and report review results to Business and Compliance Management
- Follow-up on action plans to verify that corrective action has been effectively implemented.
- Satisfy standards for delivering high quality value added compliance risk reviews
- Provide guidance on compliance and supervisory findings related to review areas
- Anticipate and provide solutions to complex issues
- Maintain a broad knowledge of the Firm’s business and regulatory framework in which it operates
- Maintain relationships with business compliance officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm
Person Requirements
Basic Qualifications:
Education:
- 4 year Undergraduate Degree
Experience:
- 4+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank including experience with investment banking products, experience with Federal banking rules and regulations a plus
Preferred Qualifications:
- Knowledge of FINRA, SEC and other regulatory rules and regulations
- Ability to analyze and interpret regulatory rules and their impact on the business
- Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities
- Enforcement experience with FINRA, SEC or other regulatory agency a plus
- Industry affiliations
- Energetic, detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to comments and questions regarding review work
- Demonstrated analytical skills
- Demonstrated written and oral communication skills
- Demonstrated interpersonal skills
- Constructive and positive approach to challenges
- Self motivated, proactive and able to manage multiple priorities
- Ability to work independently and in a team environment
- Ability to represent and enforce compliance while considering the needs of the business
- Able to support point of view when challenged
Ability to anticipate and provide solutions to complex problems
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