Central Compliance Officer
The functions of the Central Compliance team includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts and Entertainment, E-Communications Surveillance, Information Risk Management (Records Management, Data Privacy, E-Discovery and Large Holdings) and Compliance Breach Escalation Management.
RESPONSIBILITIES
• Assist manager in executing the Central Compliance strategic target operating model.
• Develop, execution and documentation of testing across various Central Compliance functions including Gifts Entertainment, Personal Investment activities, Outside Affiliations, Registrations, E-Communications, Records Management and Data Privacy.
• Manage and test usage of issue tracking system for Central Compliance functions.
• Maintain/track and report on progress of Central Compliance tasks and processes to ensure timely completion.
• Provide data quality/consistency oversight of Central Compliance data within firm’s issue tracking system.
• Assist in creation and management of supervisory mappings for Central Compliance functions.
• Assist with the delivery of monthly Central Compliance management information reporting to business and provide quality control reviews and commentary.
• Evaluate data in systems (Breach Repository) and identify potential businesses with elevated risk profiles
Basic Qualifications:
• 4-year undergraduate degree or equivalent
• 5+ years of experience in financial services
• 4+ years of experience in Compliance
• Experience in all MS applications, especially Excel, PowerPoint and Word.
Preferred Qualifications:
• Prior experience in compliance specifically in related functions
• Law degree
• Excellent written and oral communication skills
• Unquestionable ethics and integrity
• Ability to confront conflict and difficult issues in a professional, assertive and proactive manner while remaining sensitive to business needs.
• Strong organizational and project management skills
• Demonstrated ability to influence and work effectively with employees at all levels
• Self starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
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