Compliance Issue Management Consultant

Temporary

International Banking Company

Office: Hybrid

Job Summary 

This role will support the Compliance Issue Management team (CIM) to ensure the proper governance framework is in place and the timely input, accuracy and reporting of issues data.  This role will directly utilize the AD Issues Tracker and interface with relevant stakeholders.

This role will report into the Head of Issues Management.  This role and team will be responsible for compliance issues management from an A.D. perspective.

Responsibilities: 

  • Assist the CIM team to oversee the use/application of the AD Issues Tracker (ADIT) system within CPAD and other compliance teams, ensure its consistent application and facilitate ongoing communication, escalation, and resolution process through standardized communication routines and tools.
  • Assist CPAD issue owners/managers through the ACR closure request process, facilitating communication with IAD validators and following up on open items for timely completion.  When timely completion is not possible assess alternative options available (e.g. Extension request).
  • Support the ongoing tracking and completion of compliance-related issues and resolution
  • Assist in the data collection, aggregation and preparation of internal reporting to support issue tracking within CPAD.
  • Support the review, validation and registration of management self-identified issues (MSII) within the ADIT, assessing and recommending issue severity to drive expectations on resolution activities and timeliness
  • Provide end-user support and training to CPAD and other compliance users, supporting additional oversight and 2LoD challenging routines required by policy

Qualifications 

  • Deep functional knowledge of the Banking industry and applicable rules, regulations, and processes. Foreign bank experience is a plus.
  • Superior organizational skills, with proven ability to successfully manage multiple, concurrent priorities and adapt as necessary.
  • Demonstrated relationship management skills with ability to deepen relationships and build partnerships across the business and key functional support areas.
  • Detail oriented, with proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge of the business.
  • Strong interpersonal skills and ability collaborate with stakeholders to drive results.
  • 4+ years of direct, relevant experience in financial service operations, control, compliance, audit, or regulatory management, including familiarity with regulatory examinations.
  • Work Experience: 5 to 7 years of specialized experience
  • Education Required: BA / BS
  • Language Skills: English
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