EXTERNAL CLIENT ROLE
The responsibilities will include but are not limited to:
- Work with Core Compliance Management to develop and implement enhancements to Compliance Risk Management Framework and maintain such framework in line with applicable regulatory requirements.
- Serve as the Compliance point of contact and provide advisory support to lines of Business; Corporate Finance, Structured Finance, Treasury, Trust & Custody divisions
- Assist in the development and maintenance of the Core Compliance policies and procedures.
- Conduct periodic policy/procedure reviews and advises on existing policies and procedures throughout the Branch to ensure compliance with regulatory requirements.
- Report findings and proposals to Core Compliance Management.
- Maintain the Branch’s Procedures and Operating Manuals inventory and associated Key Risk Indictors.
- Maintain Regulatory Change Management Program
- Monitor and report on regulatory changes
- Monitor Regulatory Action Plans to implement regulatory changes
- Prepare and maintain Regulatory Compliance Sub-Committee materials.
- Conduct Employee Personal Trading Violations reviews
Attend and present at the Compliance Committee.
• Assist in Committee materials precreation
• Report on Core Compliance updates, as needed
• Compliance Training:
• Review Regulatory trainings and assign applicable lines of business
• Develop and conduct targeted trainings, as needed.
• Maintain excellent communication and good relationships with all staff, to effectively roll out trainings.
• Other responsibilities include
• Risk Control Self-Assessment RCSA
• Core Compliance Risk Assessment
• Risk Governance Assessment Based on changes in the business work environment, job responsibilities can change, and additional functions and tasks may be added or removed accordingly. This position will perform other duties as required, and participate in special projects as deemed necessary and appropriate by Management.
• Strong communication skills (written & verbal)
• JD preferred
• Security Lending & Custody experience preferred
• Excellent knowledge of MS Office, Excel, Power Point
• High motivation & willingness to learn (self-starters)
• Interested working both individually and collaboratively with in a team
• 5-7 years of relevant experience