Strategic Initiatives and Operations Officer – ISG Compliance recruitment

Position Category: Legal/Compliance

Position Title: Strategic Initiatives and Operations Officer - ISG Compliance

Job Level: Vice President

Location: USA - NY - New York

Education Required: Bachelors Degree

Position Description:
This individual will report directly to the Head of the ISG Strategic Initiatives group and will interact closely with the Chief Compliance Officer and members of the Senior Management Team. The core areas of responsibility include: daily administrative and operational management of the department, financial administration, headcount and personnel related administration, senior management reporting and metrics, and coordination and project management of all Dodd-Frank and regulatory reform initiatives for the department. One Strategic Initiatives Associate will report directly to this position.

Primary duties are comprised of three main categories: Annual Reporting, Certifications and Regulatory Reform Coordination, Strategic Initiatives, and Departmental Operations. Responsibilities detailed below:

ANNUAL REPORTING, CERTIFICATIONS, and REGULATORY REFORM COORDINATION:
• Represent Compliance across numerous Dodd-Frank and regulatory reform initiatives.
• Develop a Compliance governance framework for these regulatory reform initiatives, including developing uniform standards and policies and procedures
• Manage the annual report process for Dodd-Frank, as well as FINRA and multiple other SROs, including
- Coordinating the bi-annual Supervisory Control Process (SCP) in partnership with Compliance Advisory teams and Business Unit Risk
- Manage the sub-certification process for functional areas of the Firm not covered by the SCP process.
- Manage the timeline, production, and filing of the annual reports across multiple regulators.

RISK and STRATEGIC INITIATIVES
• Coordinate the annual Compliance Risk Assessment for all business units across ISG Americas and coordinate efforts globally, as required.
- Guide management in determining risks to be considered in the Annual Compliance Plan
- Assist with mapping identified risks back to required action items, including development of training programs, drafting new policies and procedures
• Assist with the development of the Annual Compliance Plan and manage the quarterly status reporting process to senior management
• Produce monthly and quarterly metrics for LCD senior management, the Business Units, and ISG management and assess metrics to identify themes and trends for incorporation into strategic initiatives across the department.

DEPARTMENTAL OPERATIONS
• Senior Management Support:
- Prepare for and facilitate quarterly offsites for the ISG Senior Management Team
- Develop materials for the CCO's weekly management meeting and follow up on takeaways as needed
- Develop agenda and materials for the CCO's departmental "Town Hall" meetings
- Facilitate the agenda for monthly Compliance Strategy Forums
- Oversight of open findings from regulatory exams and internal audit reviews
• Personnel Related:
- Standardize processes and facilitate recruiting efforts for the department
- Coordinate the annual Talent Review Process
- Oversight of organizational chart and contact lists
- New Hire and Department Announcements
- Space Planning
• Manage the department budget, including annual planning, forecasting, monthly expense reviews and cost allocations
• Manage the department's business continuity plan
• Conduct regular entitlement reviews (e.g., market data, SOX, Aveska, ERS)

Skills Required:
• Formal project management experience
• 5 - 10 years of financial industry experience
• Strong communication skills
• Experience communicating and interacting regularly with executive level management
• Strong organizational skills
• Proven ability to manage highly sensitive and confidential information discretely
• Highly proficient in Microsoft Office Suite, specifically Excel and PowerPoint
• Ability to deal with ambiguity and competing priorities
• Consistently deliver work products on time amid multiple competing projects/ deadlines
• Visibly demonstrate an 'ownership' mentality
• Ability to work well in a matrix organization
• Strong people management skills
• Bachelor Degree or higher required