Compliance and Operational Risk Manager
6 days ago
This role is responsible for executing second-line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties.
Key Responsibilities:- Ensures requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively "the Policies"), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented.
- Identifies, challenges, escalates, and mitigates risks in a timely manner.
- Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations.
- Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third-party/vendor relationships.
- Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities.
- Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines.
- Analyzes and interprets 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.
- Bachelor's Degree or equivalent experience.
- Minimum of 7+ years' work experience, with 5+ years in Trade Surveillance.
- Strong understanding of Market Conduct behaviors and surveillance programs to detect market misconduct.
- Ability to analyze trading activity and market events, as well as the data that feeds into surveillance systems.
- Experience with Trade Surveillance systems, such as SMARTS, Actimize, Trading Hub or similar.
- Ability to execute surveillances across multiple lines of business.
- Extensive functional or professional knowledge.
- Microsoft Suite of products + technical experience with Excel macros, VBA, Python or equivalent.
This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.
This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law.
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