Compliance Risk Officer
3 weeks ago
We are seeking a highly skilled Compliance Risk Officer to join our team. As a key member of our Compliance and Control function, you will be responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.
Key Responsibilities- Design, develop, deliver, and maintain best-in-class Compliance programs, policies, and practices for Independent Compliance Risk Management (ICRM).
- Provide guidance on rules and regulations relating to function/business/product operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.
- Assist with regulatory inquiries and/or examinations, including coordination with regulators and other parties.
- Collaborate with other internal areas, including Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the supported function/business/product.
- Support the function/business/product in performing timely compliance reviews of new products.
- Assist in the development and administration of Compliance training for the supported function/business/product.
- Research new reform rules and rule changes and implement policies, procedures, or other controls necessary to comply with the rules.
- Knowledge of Compliance laws, rules, regulations, risks, and typologies.
- Self-starter, flexible, innovative, and adaptive.
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
- Strong written and verbal communication and interpersonal skills.
- Ability to work collaboratively and independently, navigate a complex organization, and handle multiple projects at one time.
- Advanced analytical skills and proficiency in MS Office applications (Excel, Word, PowerPoint).
- Demonstrated knowledge in the area of focus and relevant certifications desirable.
Bachelor's degree or equivalent experience in compliance, legal, or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements.
Advanced degree preferred.
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