Job
Description
In this role, you will: Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements Oversee the Front Line's execution and challenges appropriately on compliance related decisions Provide oversight and monitoring of risk-based compliance programs Develop and oversee standards Provide subject matter expertise with comprehensive knowledge of business and functional area Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management Provide direction to the business on developing corrective action plans and effectively managing regulatory change Provide compliance risk expertise Consult for projects and initiatives with moderate risk for a business line Identify and recommend opportunities for process improvement and risk control development Provide direction to the business on developing corrective action plans and effectively managing regulatory change Report findings and make recommendations to management appropriate committees Interpret policies, procedures, and compliance requirements Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Work with complex business units, rules and regulations on moderate risk compliance matters Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: 2 years of minimum experience in risk management in Banking and Financial Services, (includes compliance, regulatory change management, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) Experience in Compliance or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Candidates with Microsoft PowerApps/WorkSmart preferred Excellent verbal and written communication skills Ability to articulate complex concepts in a clear manner Advanced Microsoft Office/Excel skills Good eye for detail and accuracy Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities Working knowledge of Electronic Communications compliance an advantage Familiarity with Wealth Investment Management business processes a plus Create and configure quarterly attestations within the attestation tool Execute and ensure compliance of Associated Persons quarterly attestations across the enterprise Manage a shared mailbox to support multiple lines of business on attestation-related inquiries, technology troubleshooting, and guidance/key contacts on the Electronic and Digital Communications Policy. Track and circulate feedback, drive for process efficiencies, and help articulate product improvement requirements Engage with the Personal Account Dealing Team, Business Support Partners, Technology, Legal and Compliance to discuss key process updates and clarify questions for electronic communications Attestations Monitor process KPIs, metrics and support in timely execution of the deliverables as per the agreed quality standards and procedures Proactively address problems affecting multiple lines of business and escalate; accordingly, ensure reminder emails and formal escalations occur as expected Assist process manager with quarterly attestation planning, configuring, tracking, and communications. Assist process manager in driving process efficiencies through project and platform development Assist in keeping the process procedures and documentation up to date Support additional attestation processes/projects within the Personal Account Dealing Team as needed Perform in-depth investigations on alerts generated by GCCG (Global Compliance Control Group) surveillance systems to detect potential insider trading, front running, short selling or information leakage. Assess trading behavior against market moving events ( e.g., earnings releases, macroeconomic data, client orders) to identify unusual activity Document investigations in line with the policy expectations and internal procedures Review level 1 alerts in actimize for personal account dealing compliance and submit all outreach information for L2 team Support policy & procedure updates as and when needed
