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Compliance Monitoring & Testing
Global Bank with excellent growth opportunity
Ability to work with a wide range of areas within the bank
About Our Client
My client is a global financial services firm with an excellent reputation have a wide range of banking products and business lines.
o Plan for and manage compliance reviews according to the established review schedule and ad-hoc regulatory business commitments, including determining review scope, budget and testing approach, including planning for review scope, budget and testing approach
Perform on-site compliance reviews to:
- Validate compliance against established policies and procedures and applicable regulations;\
- Develop recommendations for corrective action based on review findings;
- Work with business Compliance Officers and management to agree on appropriate action plans
- Present and report review results to Business and Compliance Management
- Follow-up on action plans to verify that corrective action has been effectively implemented.
Stakeholder management and leadership.
- Maintain relationships with business Compliance Officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm, including supporting the US Bank Advisory Compliance team with its US Compliance efforts.
- Maintain a broad knowledge of the Firm's business and regulatory framework in which it operates
Decision-making and problem-solving.
- Satisfy standards for delivering high-quality value-added compliance risk reviews
- Provide guidance on compliance and supervisory findings related to review areas
- Anticipate and provide solutions to complex issues
The Successful Applicant
Your Skills and Qualifications will include
- 4-year Bachelors degree
- 5+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank including experience with investment banking products
- Knowledge of FINRA, SEC, FRB, and other regulatory rules and regulations
- Enforcement experience with the FED, FINRA, SEC or other regulatory agency a plus
- Ability to analyze and interpret regulatory rules and their impact on the business
- Good understanding of corporate bank products and services and core investment banking business lines and products (including equities, fixed income, commodities, banking and financing activities) a plus
- Detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to comments and questions regarding review work
- Demonstrated analytical skills
What's on Offer
Competitive base salary + bonus + benefits