GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Core Compliance is a team within Global Compliance that is responsible for implementing and maintaining the firm's integrated regulatory compliance program, which includes risk assessments, regulatory change management, policies, and training.

RESPONSIBILITIES AND QUALIFICATIONS

Core Compliance is at the forefront of ensuring our firm's compliance program is best in class, factoring in the latest regulatory guidance and industry standards. We are looking for a team member who can help drive our mission forward and collaborate across business units within Compliance, Compliance Engineering, Risk, and the firm. We are looking for someone who is equal part visionary and executor. At times, the role will require you to navigate and problem solve with multiple teams and stakeholders bearing in mind timelines and a senior audience.

Principal Responsibilities:

• Contribute to strategy for enhancing the compliance risk assessment (CRA)
• Oversee compliance involvement in the Risk and Control Self-Assessment (RCSA), including risk inventory management, training, and communications
• Analyze trends in risk assessment results and develop reporting
• Partner closely with Compliance Engineering on UAT, system enhancements, and BAU processes
• Work closely with divisional Compliance to facilitate execution of the CRA and RCSA
• Analyze and creatively present data for Senior Management presentations
• Support responses to regulatory and internal reviews and audits

Qualifications:

• Bachelor's degree required
• Experience with compliance risk assessments and/or risk and control self-assessments preferred
• Minimum of 3 years’ experience in compliance or risk management in the financial services industry
• Strong project management skills
• Detail-oriented and able to produce quality work product, even when working under tight timeframes
• Comfortable being independent and a self-starter
• Ability to decipher and navigate ambiguous situations with the aim of developing solutions
• MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred
• Proficiency in Alteryx a plus
• Excellent oral and written communication skills
• Analytical; capable of identifying and distilling relevant information quickly