Software Guidance & Assistance, Inc., (SGA), is searching for a Regulatory Examiner for a CONTRACT assignment with one of our premier Investment Banks clients in Stamford, CT .
Hybrid schedule - 2x weekly onsite
Responsibilities :
Firm is undergoing an exercise to review the controls that it has in place against various 'permissibility' and 'risk management' regulations and to ensure the controls mapped to these regulations are complete and accurate.
Following this exercise, the agreed upon 'complete and accurate' controls will need to be mapped to these regulations in Firm's systems and extraneous controls will need to be unmapped. To support this exercise, a Regulatory Examiner with significant experience of working on regulatory controls in a bank, is sought to:

• Own and track the mapping of appropriate controls and un-mapping of extraneous controls
• Liaise confidently will stakeholders at all levels to gain any final sign offs needed to amend which controls are mapped/not
• Communicate regularly and clearly on the progress of mapping 'clean up'.
• Advise on the completeness of control assessments with respect to these regulations
• Assist with partnering across the firm to determine appropriate metrics and governance forums to provide oversight of these regulations

Required Skills :

• 5-7 year's experience as a compliance officer or auditor with extensive 'hands on' experience in banking regulatory work
• 5-7 year's experience in Securities; SEC, FIINRA, CME and NFA
• Be confident it dealing with a wide range of systems and data relating to controls mapping
• Have a proven track record in quickly understanding systems
• Strong excel/analytical skills
• Strong stakeholder management skills - with strong oral communication in particular
• Critical thinker with ability to provide an impartial, consultative, and solutions-oriented approach
• Prior success working in a large, highly-matrix and complex organization; able to set priorities and 'triage' in a fast-paced, dynamic environment

Preferred Skills :

• Regulatory Affairs and or Compliance experience

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at https://sgainc.com/ .
SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company EEO page to request an accommodation or assistance regarding our policy.