Compliance Product Officer
About The Position
Day to day activities will include providing credible challenge, reporting, governance activities, Issue review and analysis, third party management, conflict of interest reviews, risk identification, Consent Order and escalation reviews, risk assessments, and pulling and analyzing metrics, as well as additional duties that may be assigned. Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. 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 supported functions. Supporting the Corporate Functions in performing timely compliance reviews of new products. Assisting in the development and administration of Compliance training for the supported functions. Researching any new rules/regulations and rule/regulation changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations.
Requirements
- Knowledge of compliance laws, rules, regulations, risks and typologies
- Advanced analytical skills
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Must be a self-starter, flexible, innovative and adaptive
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Ability to work independently
- Strong written and verbal communication skills
- Ability to navigate a complex organization
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Demonstrated knowledge 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 supported functions
- Business Acumen
- Credible Challenge
- Laws and Regulations
- Management Reporting
- Policy and Procedure
- Program Management
- Referral and Escalation
- Risk Controls and Monitors
- Risk Identification and Assessment
- Risk Remediation
Nice To Haves
- Advanced degree preferred
Responsibilities
- Providing credible challenge
- Reporting
- Governance activities
- Issue review and analysis
- Third party management
- Conflict of interest reviews
- Risk identification
- Consent Order and escalation reviews
- Risk assessments
- Pulling and analyzing metrics
- Assisting in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
- 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 supported functions
- Supporting the Corporate Functions in performing timely compliance reviews of new products
- Assisting in the development and administration of Compliance training for the supported functions
- Researching any new rules/regulations and rule/regulation changes and implementing policies, procedures or other controls necessary to comply with the rules/regulations
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
