Compliance Officer III Job
Compliance Officer III (Job Number: 1306906)
Description
Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development. Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements. Validates control processes to ensure compliance with laws, rules and regulations. Partners with business unit managers to respond to reports issued by regulatory agencies or audit. Will have contact with outside regulators, government officials, and senior Business Unit managers.
Qualifications
BA/BS, MBA, J.D. or professional certification preferred. 7-10 years relevant product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of Financial Services rules and regulations. Solid understanding of Compliance Risk Management and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority.
Primary Location: United States-USA-NY-New York
Internal Jobcode: 23620
Job: Audit/Compliance/Risk
Organization: Compliance Ethics-HR06015
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