Job Description

• Providing compliance coverage to an assigned function/business/product.
• Provides compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day activities.
• Managing a team of multiple teams of Compliance professionals.
• Developing, attracting, and retaining talent; recommending staffing levels required to carry out the unit’s role and responsibilities effectively while establishing and adhering to talent management processes and compensation and performance management programs.
• Mentoring and developing junior staff.
• Directing the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices.
• Translates CRM strategy and goals across company’s clients, products and geographies; provides direction and guidance on the programs.
• Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings.
• Providing oversight and guidance over the assessment of complex issues, structures potential solutions and drives effective resolution with other stakeholders.
• Provides advice to the function/business/product on an ongoing basis on new initiatives, new products, acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations.
• Representing us on critical regulatory matters as required.
• Serves as liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation.
• Collaborating 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 assigned business/product/function.
• Supporting the function/business/product in performing timely compliance reviews of new transactions and/or products.
• Managing CRM initiatives as required, such as the implementation of new Compliance systems, controls, and related project management work efforts.
• Assisting in the development and administration of Compliance training for the assigned business/product/function.
• Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the business/product/function supported.
• Analyzing and scoping the impact including applicability of new and complex regulatory developments across the assigned business/product/function, including cross-border impact.
• Assisting in the establishment of ICRM policies, procedures and controls to comply with these new or changed laws and regulations.
• Participating in industry groups and trade association working groups or other forums.
• Additional duties as assigned

Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding our group, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

Required Knowledge, Skills, and Abilities

• Highly motivated, strong attention to detail, team oriented, organized
• Excellent written, verbal and analytical skills
• Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Ability to interact and communicate effectively with senior leaders
• Significant knowledge and expertise of Compliance laws, rules, regulations, risks and appropriate controls
• Experience in the design and implementation of Compliance programs
• Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
• Ability to influence and lead people across cultures at a senior level using sound judgment and successful execution, understanding how to operate effectively across diverse Business/Function
• Experience with and previous exposure to internal or external control functions and regulators
• Ability to challenge Business/Function management and escalate issues when appropriate
• Strong track record of effectively assessing and managing competing priorities
• Comfortable navigating complex, highly-matrixed organizations
• Comfortable acting as an agent for positive change with agility and flexibility
• Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management skills are essential
• Subject matter expertise in area of focus
• Bachelor’s degree; 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 the assigned function/business/product and related laws and regulations, previous experience managing a diverse staff; Advanced degree preferred