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Regulatory Compliance, Specialist

4 months ago

Lake Mary, United States Finastra Full time
Company Description

Formed in 2017 by the combination of Misys and D+H, we provide the broadest portfolio of financial services software in the world today-spanning retail banking, transaction banking, lending, capital markets and treasury.

Our solutions enable customers to deploy mission critical technology on premises or in the cloud. With our scale and geographical reach we drive valued solutions and opportunity for customers regardless of size or geography. Through our open, secure, and reliable solutions, we empower customers to accelerate growth, optimize cost, mitigate risk and continually evolve to meet their changing needs.

A Truly global organization with offices in 42 countries worldwide, with an employee base of approximately 10,000 employees. We work with 9,000 customers, including 48 of the top 50 banks globally. Through our software, we're constantly stretching boundaries to do more for our customers. We are proud to be an organisation where our vision, values and cultural beliefs are not just shared, but are lived by our people globally and where recognition is part of each and every day

Job Description

What will you contribute?

We are looking for an amazing individual to join a growing compliance team. Working as part of the Regulatory and Compliance Team within the Global Risk Management organization, this role will play a key part in the success of meeting the company's regulatory and compliance obligations. The Regulatory and Compliance Team is responsible for key components of the company's corporate compliance program such as, regulatory compliance oversight, policy governance, compliance training, investigations, regulatory supervision oversight, client due diligence and monitoring and the SOC program. Working as part of a team of attorneys and compliance professionals, this role will help enhance and mature the company's compliance program.

We are looking for someone who is interested in compliance with a strong third party risk management, vendor risk management, risk and compliance background to support the client compliance function. Broadly speaking, the client compliance activities include responding to client due diligence compliance questionnaires, ongoing compliance monitoring by regulated financial institutions, participating in client meetings, and facilitating client audits.

Responsibilities & Deliverables:

Your responsibilities and deliverables in the Client Compliance function will include, but are not limited to, the following:
  • Day to day support of the client compliance program
  • Collaborating with a small team of compliance professionals that are globally dispersed
  • Support of client audits and audit requests, including requesting and preparing materials, arranging logistics, coordinating meetings, facilitating communication, and development of responses,
  • Management of client assessments to ensure timely and appropriate responses
  • Evaluate and escalate client compliance issues as appropriate
  • Track metrics on utilization of material and client support cases
  • Ensure that standard due diligence and ongoing monitoring material is accurate and up to date
  • Communicating with customers, including through meetings, as required
  • Track the expiration/refresh dates of all client due diligence material. Obtain and follow-up as necessary to ensure timely receipts of client due diligence updates. Update the product specific files within the client due diligence portal
  • Provide necessary reporting to internal and external stakeholders on a regular cadence on the status of the program and priorities.
  • Stay current with technology trends
  • Review compliance with security requirements pertinent to customer contracts
  • Maintain a knowledge base of responses to commonly asked questions.
Qualifications

Required Experience:

•Have at one to three to five (3-5) years of work experience related to Compliance, Third Party Risk Management, Vendor Risk Management, Audit, Customer Technical Support, Risk Management, and/or Procurement, particularly in financial services.

•Familiar with risks related to IT application development and infrastructure maintenance, IT security, business continuity and disaster recovery, and emerging technology platforms - mobile device platforms, cloud services, Big Data, and social media.

•Strong understanding of vendor risk management practices, including the lifecycle of risk identification, treatment, mitigation, acceptance, remediation as well as inherent and residual risks.

•Knowledge and experience with laws, regulations, guidelines, and frameworks within the financial services industry that mandate information security and information risk management requirements such as FFIEC, NIST, ISO27001, GLBA, OCC Heightened Standards, and etc.

•Experience with privacy laws such as CCPA and GDPR.

•Experience triaging and prioritizing in-coming client requests.

•Experience writing SOPs, process flow charts and overview documents

•Ability to perform research to provide material and evidence with internal and external inquiries.

•Coordinate with customer audits

•Assist with crafting high-quality presentations and reports, conveying sometimes complex topics to several levels of management internally and with clients.

•Tenacity with strong follow-up skills.

•Strong ability to multi-task and works well under pressure

•Executive presence and always exhibits professionalism with clear written and oral communication skills.

Preferred Experience/Skills:
  • Degree in the fields of Information Systems, Business Administration, or related major and possesses strong pragmatic business acumen.
  • Professional technical certification such as Certified Information Security Manager (CISM), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certified in Risk and Information Systems Control (CRISC), Certified Regulatory Vendor Program Manager (CRVPM) or Certified Third Party Risk Professional (CTPRP) preferred.
  • Experience working in financial services and/or financial technology (FinTech) industries.
  • Experience designing, implementing and working with data analysis and visualization tools, such as Power BI or Tableau and Expertise with Microsoft Excel and/or Word.


Additional Information