Responsibilities and Qualifications

The Core Compliance Team is at the forefront of delivering robust compliance risk management in adherence with regulator expectations. We are looking for a team member who can help drive our compliance risk management program forward, by collaborating with first- and second-line teams, including Engineering, Operational Risk, the business and Compliance globally. The successful candidate should demonstrate strategic thinking, comfort interacting with senior audiences, detailed understanding of regulatory compliance program requirements and an ability to lead large scale transformation.

We are looking for someone who is equal part visionary and executor. The role will require you to collaborate, navigate and problem solve with multiple teams.

Principal Responsibilities:

• Drive strategy for enhancing the Compliance Risk Assessment (CRA)
• Oversee Compliance involvement in the Risk and Control Self-Assessment (RCSA), including process, risk and control inventory management
• Develop and implement approach for developing metrics for controls
• Manage updates to the risk taxonomy
• Partner closely with Engineering to design and enhance risk assessment tools
• Work closely with divisional Compliance to facilitate execution of the CRA and RCSA
• Analyze data and create presentations for Compliance Senior Management and other stakeholders
• Manage requests and exams from regulators and Internal Audit

Qualifications:

• 8 years' experience in compliance or risk management in the financial services industry or consulting industry
• Bachelor's degree
• Experience with compliance risk assessments and/or risk and control self-assessments
• Knowledge of issue management and/or internal control frameworks
• Strong understanding of Compliance program mandates and Operational Risk Frameworks
• Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines
• Strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders
• Detail-oriented and able to produce quality work product, even when managing time-sensitive demands from competing stakeholders
• Work independently and exercise strong judgment
• Advanced PowerPoint and Excel skills