Compliance Manager I Job
Compliance Manager I (Job Number: 1304800)
Description
The qualified candidate will assist in the development, implementation, and administration of Pershing's Privacy and Data Protection Compliance Program (the "Program"). The Program covers all aspects of customer data protection and confidentiality. The candidate will provide leadership, training, and management over the Privacy Compliance Program. They will collaborate with professionals in the Legal Department, People Services Human Resources Department, Information Technology, Global Security Department, and other business units to verify that Pershing's Privacy Compliance Program is complete and addresses all aspects of privacy risk to the Firm or any of the Firm's Introducing Firms.
The candidate will also provide information and recommendations relating to emerging privacy and data protection issues. Specifically, the associate's duties include, but are not limited to the following:
- Provide guidance and assistance in the identification, implementation, and maintenance of Pershing's privacy and data protection program, and policies and procedures in coordination with the Business Teams, Compliance Department, Legal Department, and Information Security;
- Work with the business units to establish a Corporate-wide Privacy Compliance Program that complies with the Regulation S-P provisions of the GLBA, state and federal privacy laws, and the BNYM Information Security Policies and Procedures;
- Provide a leadership role in the ongoing conduct of the Privacy Compliance Program;
- Perform initial and periodic privacy risk assessments;
* Perform Data Leakage Prevention (DLP) incident management, escalation, research, communication, documentation and applicable remediation efforts, as required;
- Coordinate and implement Privacy training for all Pershing associates in conjunction with the Compliance Training group, which may include presenting industry best practices at the Annual Compliance Meeting;
- Conduct related ongoing compliance monitoring activities in coordination with other compliance risk-assessment functions;
- Implement effective compliance programs to comply with Regulation S-P of the GLBA, the BNYM Information Security Policies and Procedures; and other privacy-related regulation and legislation;
- Analyze complex regulatory compliance issues and present recommendations in written and oral communications to senior management;
- Provide various communication channels to foster privacy and data protection awareness globally (briefing sessions, privacy forums, privacy committee or working group, etc.);
- Participate in division and corporate working groups and initiatives relating to privacy and data protection matters;
- Serve as a consultant to senior leadership on privacy and data-protection matters;
- Conduct a review of specific policies and procedures and enhance supervisory procedures to address changing business and regulatory environments, if such guidance is requested;
- Assist business units with understanding applicable laws and regulations;
- Provide leadership in the planning, design, and evaluation of privacy- and data-protection-related projects;
Responsible for data privacy incident management investigations and reporting to and working with all applicable customer and law enforcement agencies;
Qualifications
* 7-10 years previous experience in data protection/security, privacy, technology, compliance, and/or technology risk.
* Strong leader, as well as team player
* Superior decision-making skills, moral/ethical standards, coordination, multi-tasking, detail orientation, and organization skills.
* Strong communication skills (verbal and written).
* Strong knowledge of Microsoft applications (e.g. Word, Excel, PowerPoint, Access)
* Bachelor's degree in business, and/or technology.
BA/BS, MBA or professional certification preferred. 7 - 10 years relevant product/financial services and/or auditing or compliance experience preferred.
Primary Location: United States-USA-New Jersey-Jersey City
Internal Jobcode: 23610
Job: Audit/Compliance/Risk
Organization: Pershing-HR06431
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