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VP Compliance Risk Assessments

  • NYC
  • Full Time

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Large international investment bank located in Midtown, Manhattan looking to bring on board an “VP Compliance Risk Assessments” to join their team. This role is currently in a hybrid capacity (3 days per week).

 

Responsibilities:

  • Execution of the Compliance Risk Assessment Program
  • Timely collection and analysis of pertinent information such as significant regulatory events, material business changes, regulatory changes, and high-risk regulatory trends to perform the annual review and update of the compliance risk assessment organizing construct
  • Maintenance of the firms US Operations Law Library to ensure it is up to date and accurately mapped for applicability to in scope legal entities and assessable units for the compliance risk assessment
  • Timely and effective communication with internal stakeholders to manage documentation requests and roundtable discussions required for completion of the compliance risk assessment
  • Facilitation of The firms US Operations Compliance Risk Assessment across all in-scope with The firms US Operations legal entities and assessable units
  • Execution of the Compliance Risk Assessment and support of all other assessments for in-scope legal entities and assessable units
  • Analysis of results and observations to determine potential action items and corrective actions
  • Develop reporting for various levels of management including Senior Management and the Board of Directors, including the annual US Operations Compliance Effectiveness Report, US Operations Annual Compliance Plan
  • The firms US Operations Compliance Risk Management Framework
  • Maintenance and continued development of the Compliance Risk Assessment process methodology
  • Collaborate with other Compliance Governance pillars, including Regulatory Change, Compliance Testing, and Issues Management to ensure Compliance Risk Assessment results are consumed downstream