Compliance Risk Officer recruitment
This is an exciting and unique opportunity to be a part of an incredibly high performing area of the business and partner with project teams supporting the development and implementation of newly designed internal Compliance controls and systems.
Key Responsibilities will include, but are not limited to:
* Designing, implementing and executing ongoing testing and monitoring of internal controls that support risk assessment processes
* Identify and develop controls that are required in the risk assessment
* Be a Regulatory Subject Matter Expert (SME) on rules and regulations pertaining to Investment Banking/Broker Dealer businesses
* Perform in-depth analysis of regulations and draft policies and procedures supporting same
* Provide ongoing guidance and advice on the application of regulations to the business
* Be a key support towards the implementation of a risk assessment automated tool
Skills required:
* Broad and in-depth understanding of U.S. Regulations applicable to the Broker Dealer business
* Great project management skills
* Bachelors; MBA or Masters in business-related field is highly desired
* Excellent organizational skills; attention to detail; ability to meet very strict deadlines; ability to work under pressure; comfort working closely in a team environment
* Must be a self-starter and have a diligent, proactive approach to working and bring strong analytical skills and forward thinking to the table.
* High level of energy -- ability to think outside the box and see the end goal
* Knowledge of large-scale technology implementation projects involving high level of data will very much be an asset to this position