Compliance Officer

3 weeks ago

New York, United States QUANTEAM - North America (RAINBOW PARTNERS Group) Full time

As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 different nationalities, collaborates across 10 international offices: Paris, Lyon, New York, Montreal, London, Brussels, Geneva, Lisbon, Porto and Casablanca.


Context:


Our client, a leading investment bank based in New York City, is seeking a dynamic and experienced professional to join their team as a Compliance Risk Assessment Manager. The successful candidate will play a crucial role in ensuring compliance with industry regulations and managing risk within the financial services sector.


Responsibilities:


- Conduct comprehensive risk assessments in alignment with regulatory requirements and industry best practices.

- Analyze and evaluate the effectiveness of existing compliance controls and identify potential areas of improvement.

- Collaborate with cross-functional teams to gather relevant data and insights for risk assessment purposes.

- Formulate strategies to address identified compliance risks and ensure the implementation of risk mitigation measures.

- Work closely with business units to provide guidance on risk management and compliance best practices.

- Monitor and report on the progress of risk mitigation initiatives to senior management.

- Stay abreast of changes in financial regulations and assess their impact on the bank's operations.

- Ensure that the organization remains in compliance with all relevant regulatory requirements.

- Respond to inquiries and audits from regulatory agencies, demonstrating a deep understanding of risk assessments.


Qualifications:


- Minimum 7 years overall experience

- Demonstrated experience in Compliance or Risk Management within the financial services industry.

- Preferably 2-3 years in a Compliance Risk Assessment related role

- Bachelor’s degree in Finance, Business Administration, or a related field. Advanced degrees or relevant certifications would be advantageous.

- Strong analytical and problem-solving skills with a profound understanding of Corporate Compliance and Risk Assessment processes and methodologies.

- Excellent written and verbal communication skills, with the ability to convey complex information clearly and concisely.

- Proven ability to collaborate with cross-functional teams and communicate effectively with stakeholders at all levels.

- Familiarity with general rules and regulations, including those of FED, OCC, NYDFS, SEC, FINRA.

- In-depth knowledge of corporate compliance programs and practices, particularly those required by SR 08-8.

- Proficient in stakeholder management and possesses the ability to influence across the Three Lines of Defense.

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