Senior Compliance Training Officer
Department:
The Compliance Department is responsible for compliance with legal and regulatory matters affecting Firm and its subsidiaries, including:
- Evaluating and responding to new and changing federal, state, local and administrative regulations.
- Interacting with regulators and others in response to relevant inquiries and requests.
- Planning, developing and implementing appropriate training and awareness programs for Firm's business areas.
- Monitoring compliance with Firm's internal policies and procedures.
- Evaluating compliance programs established by Firm and its subsidiaries.
- Guiding Firm's business areas in the development of their procedures to comply with Firm's policies.
- Acting as a reference point for business areas that need help resolving legal and regulatory issues.
Position Summary:
The Senior Compliance Analyst within Compliance Training is primarily responsible for creating, updating and enhancing Firm's corporate and departmental compliance training. This includes drafting original training content, updating existing training content, and working with in-house and third party developers to develop eLearning courses. The primary focus of this position is on substantive training content and eLearning course development, which includes working closely with subject matter experts across the firm. This position works closely with the Compliance Policies Procedures Team.
Principal Responsibilities:
- Under limited supervision, analyzes applicable laws and regulations and resulting regulatory requirements to define and design compliance training courses.
- Validates the accuracy and harmonization of multiple training documents designed to conform to applicable laws and regulations.
- Assists and supports Firm's staff and businesses in all aspects of Compliance Training.
- Interacts with employees and Firm's business area management across the firm.
- Monitors legal, regulatory, policy, procedure and business developments, focusing on how they impact compliance training needs.
- Liaises with internal and third party training and eLearning developers.
- Conducts Compliance Training Needs Assessment and prepares annual Compliance Training Plan and Budget.
- Facilitates onsite and offsite training requests.
- Leads and participates in Compliance Training-related meetings and works with subject matter experts to define audiences for training documents and/or courses.
- Performs other special projects or assignments as requested
Experience:
3+ years of financial services industry experience in compliance, legal or educational training functions, with a strong background in AML/BSA, OFAC and Ethics.
Knowledge and Skills Required:
- Strong writing skills, with experience in translation of complex, legal text into plain English.
- Ability to analyze laws and regulations and identify and prioritize relevant training content.
- Strong legal and regulatory analytical skills and knowledge of AML/BSA, OFAC, banking and other relevant financial regulations, as well as Ethics.
- Ability to manage multiple priorities across varying functions.
- Excellent verbal communication and follow-up skills.
- Meticulous organizational skills and attention to detail.
- Strong proficiency of PC-based applications, including Word, PowerPoint and Excel.
- Ability to interface with various levels of Firm's management, as well as with internal and external clients and subject matter experts.
- Ability to analyze risks and recommend controls to mitigate regulatory compliance.
- Prior legal or compliance experience with AML regulatory requirements, preferably in a financial services environment.
- Strong interpersonal and collaborative skills, as well as analytical, problem-solving and decision-making skills.
- Familiarity with web-based training development.
Education, Training /or Certification:
BA Required. JD or equivalent preferred
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