AVP-Compliance Officer Regulatory Identification and Change Management

Overview :

TekWissen is a global workforce management provider headquartered in Ann Arbor Michigan that offers strategic talent solutions to our clients world-wide. Our client is a company who is a provider of banking and financial services. The company operates through two divisions Retail Banking and Services and Corporate and Institutional Banking

Position : AVP-Compliance Officer - Regulatory Identification and Change Management

Location : Jersey City NJ 07310

Duration : 9 Months

Job Type : Temporary Assignment

Work Type : Onsite

Shift : 8.00AM-5.00PM

Job Description : Business Overview :

• Americas Compliance is an independent governance function headed up by the Chief Compliance Officer for the Americas (Americas CCO) based in New York with responsibility for all Compliance activities in the United States (comprised of business lines rolling up to International Financial Services (IFS) and CIB) and CIB activities in Canada and Latin America.
• Reporting directly into the Americas CCO is the Compliance Chief Operating Officer (COO) for Americas Compliance.
• The Compliance COO is among other things responsible for Regulatory Identification and Change Management (RICM) Program; Compliance Risk Assessment; Compliance Risk and Control Self-Assessment (RCSA) of Compliance-owned process operational risks; Compliance Issue Management; Compliance Monitoring; Compliance Historic Incident management; and other related permanent control activities.

Candidate Success Factors :

Results and Impact

Leadership and Collaboration :

Compliance Culture and Conduct :

Responsibilities :

The role of the Compliance RICM AVP includes :

LRR updates and regulatory obligations mapping to policies and procedures and controls responsibilities include :

Maintaining a process to update the Regulations Library

Coordinating with stakeholders and SMEs including Compliance and business lines

Monitoring end-to-end obligation mapping to policies procedures and controls

Reporting mapping gaps / progress

Minimum Required Qualifications :

3 to 5 years experience working for a financial services firm and / or self-regulatory organization in Compliance Risk Regulatory roles and / or data analytics roles.

Comfortable reading and interpreting regulatory notices and changes from regulators including but not limited to state / federal prudential regulators in the location self-regulatory organizations and exchanges (NYFRB FRB SEC CFTC FINRA NFA MSRB NYSE CME etc.) that are applicable to the businesses of a foreign banking organizations businesses processes and operations (investment banking corporate banking markets activities bank regulatory matters etc.).

Presentation and reporting skills including MS Excel SharePoint Word and PowerPoint.

Strong knowledge of data analytics working with structured and unstructured data.

Experience with visual analytics tools (PowerBI Tableau and / or other tools).

Strong execution skills with the ability to work successfully under demanding deadlines.

Team player with the ability to work collaboratively with front back office and Compliance stakeholders and senior management.

Strong communication skills including proficiency in writing concise and substantive commentary to summarize results.

Strong attention to detail.

Problem solving skills.

Knowledge of corporate and institutional banking laws rules regulations supervisory guidance and industry best practices.

BA or BS Degree a must.

Preferred Qualifications :

Understanding regulatory notices and changes from regulators including but not limited to state / federal prudential regulators in the location self-regulatory organizations and exchanges (NYFRB FRB SEC CFTC FINRA NFA NYSE etc.) that are applicable to the businesses of a foreign banking organizations businesses processes and operations (investment banking corporate banking markets activities bank regulatory matters etc.).

Ability to review regulatory obligations in relation to policies and procedures and knowledge of the clients controls maintenance systems.

Ability to navigate effectively in transformational environments.

FINRA Registrations Required :

Not required but Securities licenses a plus (e.g. SIE Series 3 4 7 9 / 10 24)

CFTC Swap Dealer Associated Person (if yes NFA Swaps Proficiency Program is required) :

N / A

SEC Security-Based Swap Dealer Associated Person :

N / A

TekWissen Group is an equal opportunity employer supporting workforce diversity.

Key Skills

Hair And Beauty,Facilities,IT Support,Bank,Asp.Net MVC

Employment Type : Full Time

Experience : years

Vacancy : 1