This role reports to the Executive Director, Compliance Training and will be responsible for overseeing the training needs assessment process and development of annual compliance training plans. The successful candidate will conduct an annual, risk-based Training Needs Analysis based on elements including compliance risk assessments, regulatory inventories and managers; assist the Executive Director in the development and execution of the Annual Training Plan, review and update the needs assessment and plan on a periodic basis, and serve as a compliance training resource to business unit leaders as needed.
The candidate should have a strong functional knowledge of banking and securities regulations in the U.S, and a working knowledge of the regulatory requirements in other countries in the Americas. Experience in the development and execution of Training Needs Analysis and Annual Training Plans is essential. Familiarity with the production and deployment of training in a variety of channels is a plus.
• Coordinate the annual Compliance Training Needs Analysis for the Americas Division, including gathering and analyzing information from sources identified in the Americas Division Compliance Training Methodology.
• Effectively interface with legal entities Compliance officers within the Americas Division in the development of their Training Needs Analyses and incorporating their content into the Americas Division Training Needs Analysis as appropriate.
• Support the Executive Director, Compliance Training in the development and roll-out of the Annual Training Plan.
• Conduct periodic reviews of the Annual Training Plan and Compliance Training Analysis and recommend updates as appropriate.
• Provide guidance to legal entities regarding best practice in the development and delivery of local training.
• Maintain up-to-date information regarding current regulatory and enforcement developments that may impact training needs or require updates to existing training.
• Where appropriate, facilitate or deliver Instructor-Led Training.
• Where appropriate, provide subject matter expertise regarding regulatory requirements and best practices.
• Develop training metrics and reports to provide feedback on the effectiveness of the Compliance Training Program.
• Other duties as required.
• Bachelor’s degree or equivalent experience required. Minimum of fifteen years of prior regulatory or compliance management experience in the financial services sectors including at least 2 years of direct experience in the compliance training programs.
• Strong knowledge of best practice and techniques in the conduct of Training Needs Analysis and the development and execution of Compliance training plans
• Demonstrated knowledge of training metrics and analysis and familiarity with relevant systems
• Demonstrated track record of increasing management responsibilities and project management responsibilities
• Ability to manage multiple projects simultaneously and re-prioritize workloads as necessary
• Demonstrates strong judgement, political astuteness and sensitivity to cultural diversity.
• Ability to drive change and build consensus with relevant stakeholders
• Strong analytics skills to understand project goals and interpret them into meaningful action
• Ability to analyze results and identify trends / forecasting using resultant data and other available metrics