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Compliance and Operational Risk Expert
2 months ago
Job Summary:
The Compliance and Operational Risk Manager is responsible for executing second-line of defense compliance and operational risk oversight for Global Markets Risk and Financial Risk. This role involves ensuring the implementation of requirements from the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy, and the Compliance and Operational Risk Management Program and Standard Operating Procedures.
Key Responsibilities:
- Assess risks and effectiveness of Global Markets Risk and Financial Risk processes and controls to ensure compliance with applicable laws, rules, and regulations.
- Engage in activities to provide independent compliance and operational risk oversight of Global Markets Risk and Financial Risk performance and any related third-party/vendor relationships.
- Identify and escalate problems or issues that arise and drive actions to address the root causes that lead to compliance risk issues and/or operational risk losses.
- Manage inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities.
- Assist in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines.
- Analyze and interpret applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks.
- Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage.
Requirements:
- Knowledge of the Risk Program with an emphasis on monitoring, testing, and risk assessment.
- Knowledge of governance and reporting practices, including escalation best practices and guidelines.
- Knowledge of issue management requirements.
- Ability to effectively review and challenge work done by the FLU/CF.
- Global Markets Risk and/or Financial Risk related experience.
Desired Skills:
- 10+ years of experience in Risk Management with 5+ years related to Markets or Financial Risk Management.
- Working knowledge of Market Risk and/or Financial Risk policy and standard requirements.
- Bachelor's Degree or equivalent experience.
