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Managing Director, Compliance Initiatives

  • NYC
  • Full Time

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Investment bank located in Midtown Manhattan looking to bring on board a “Managing Director, Compliance Initiatives” to join their team. This role is currently in a hybrid schedule (2 days in office / week).

 

Responsibilities:

• Ownership of implantation of governance and reporting over Compliance remediation and modernization across all initiatives.

• Owns oversight of Compliance remediation of Regulatory and Audit Findings to inform business process optimization across Compliance: including root cause/remediation of root cause, identification of themes across teams, holistic process improvement, and timely reporting to CCO on finding management

• Develop and implement appropriate review and challenge frameworks to support completion of regulatory deliverables

• Streamline US Compliance reporting across regional Committees Boards.

• Track and oversee progress of all internal and/or external audit issues relating to US Compliance.

• Work closely with the Regulatory Change team within Compliance on interpreting the impact and advising management of current and emerging regulatory and compliance issues, industry or market developments to ensure that anticipated and regulatory changes are considered in business activities and strategic plans.

• Oversee the assessment process of compliance with OSFI Regulatory Compliance Management and report on compliance to Segment, Enterprise, and the relevant Boards.

• Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Compliance to Segment, Enterprise and the relevant Boards

• Provide the leadership team with relevant Management Information, reporting, and support to ensure operational risks are appropriately managed and adherence to internal policies and procedures and applicable regulatory guidelines is effective.

• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Compliance function.

• Work with the Compliance Leadership Team to set the Compliance culture, people development, and training.