Conduct Risk And Culture Officer

Full Time

Madison-Davis

EXTERNAL CLIENT ROLES

Overview:
Conduct Risk and Culture Officer will report to the Head of Conduct Risk and Culture with responsibility for assisting with the development and maintenance of a centralized regional control framework to mitigate conduct risk, the advancement of culture initiatives, and advisory services.


This role will involve supporting the strategic development and oversight/maintenance of an Americas Division Conduct Risk and Culture Program in partnership with multiple stakeholders across the firm. The Program scope includes conduct risk, culture, sales practices, and Whistleblower Program management. The role requires contribution to the development/enhancement and maintenance of policy, procedures, processes and controls; creation of training and communications content; contribution to the development and monitoring of KRIs and metrics; supporting risk assessment and testing exercises; employee engagement initiatives; and provision of advice and guidance.

Job Responsibilities:
• Support and facilitate execution of Conduct Risk and Sales Practices program implementation plans, to include development of or updates to policies, procedures, processes and controls. Support consistent implementation of AD Conduct Risk framework.
• Assist with identification, development, monitoring and analysis of Culture & Conduct and Sales Practices program KRIs, metrics and management reporting.
• Participate in the development and management of Culture & Conduct-related communications and employee engagement initiatives and embedding of culture strategy, in coordination with relevant stakeholders/process participants.
• Contribute to governance initiatives.
• Provide advice and guidance to stakeholders and constituents on matters involving conduct and sales practices risk, consistently applying firm standards, and incorporating regulatory expectations and best practices.
• Identify issues and escalate as appropriate. Identify risk, anticipate consequences and incorporate into analysis and plan.
• Ensure timely remediation of control issues, such as actions resulting from internal audits or testing.
• Support timely execution of risk assessment exercises.
• Assist with monitoring and tracking progress of completion for project deliverables.
• Maintain up-to-date understanding of Conduct & Culture developments, including those involving regulators and industry practices.
• May include contributing to Whistleblower Program management.
• Assist with other responsibilities and tasks as identified by the Head of Conduct Risk & Culture.

Job Qualifications:
• 7-10 years experience in financial services in a Compliance or risk and controls function and understanding of key financial services issues.
• Ability to deliver high quality work product under strict deadlines.
• Demonstrated stakeholder managements skills, including ability to build and maintain strong relationships with a wide range of key stakeholders across business lines and functions.
• Expertise in Compliance program management including but not limited to experience developing and drafting policies, procedures, communications, and training content and producing analytical management reporting.
• Sound judgment with unwavering integrity and commercial acumen.
• Ability to identify opportunities for enhancement to processes and program.
• Strong written and verbal communication skills, analytical skills and organizational skills.
• Ability to work in a dynamic environment, and adjust

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