Key Activities include :
Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Assurance (CA) Plan.
Participating in the planning, executing, and reporting of compliance assurance reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CA Plan.
Analysing and documenting report findings, and having preliminary discussions with corresponding control / process owners.
Assisting with development of Compliance Assurance Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Assurance Methodologies and Standards for auditing, testing, monitoring, and reporting.
Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
Developing effective relationships within CA function and with other stakeholders including Business process owners and Internal Audit function.
Identifying industry best practices and share insight with the CA teams on a regular basis.
Informing CA management of significant compliance matters that require their attention or action.
Identifying compliance training resources and tools available centrally to support country / business compliance programs training and research needs.
Additional duties as assigned.
Bachelor’s degree Required, Advanced degree (e.g. JD, MBA) a plus
Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal / consulting firm, or a combination thereof;
experience in area of focus.
Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
Understanding of rules, laws, and regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Effective negotiation skills, a proactive and no surprises approach in communicating issues, and strength in sustaining independent views
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
Willingness to travel
Knowledge of Compliance laws, rules, regulations, risks and typologies
The candidate should ideally have a general understanding of US regulations and processes related to institutional businesses within the financial services industry.
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 both work collaboratively and independently; ability to navigate a complex organization
Advanced analytical skills
Ability to both work independently and collaborate with team members
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Demonstrated knowledge in area of focus
Proficient English Language Skills are required (spoken and written)
Please submit you resume in English
Grade : All Job Level - All Job FunctionsAll Job Level - All Job Functions - CO
Time Type : Full time
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