Vice President, Compliance and Operational Risk Management for Legal/Communications
1 month ago
As part of Compliance, Conduct and Operational Risk (CCOR) you are at the center of helping the firm understand, manage and anticipate risks in a constantly changing environment. CCOR provides independent oversight of the firm’s compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review and challenge of LOB/Functions compliance and operation risk assessments, compliance training, understanding regulatory changes, creation of risk monitoring and testing activities to assess control effectiveness. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. If you are a team player, are solutions-oriented and have an appetite for learning, you’ll be a great fit for our team. The VP role will be part of the team responsible for independent assessment and oversight of the execution of the CCOR activities within Corporate Functions CCOR focused on Legal and Communications.
The successful candidate in this Vice President position will join a team of compliance and risk professionals from a diverse range of backgrounds and experience who collectively ensure that the Firm’s Compliance, Conduct & Operational Risk (CCOR) Framework is implemented and functions effectively within the Legal and Communications organization. In this role as a CCOR Vice President, you will act as an independent second line of defense and challenge function, interacting closely with the Legal and Communications organization and global/regional and functional CCOR teams in addition to key stakeholders, including Internal Audit and other Control functions. To be successful in this role, you will require the necessary knowledge and experience in Risk Management, regulatory or audit best practices.
Key Responsibilities:
Serving as a primary point of contact for delivery of the Firm’s Compliance & Operational Risk Program to the Legal and Communications function Provide Compliance and Operational Risk Management oversight and independent challenge of changes to Business processes, risks and controls that result from industry, regulatory, business decisions and/or strategic initiatives Perform independent assessment(s) of compliance and operational risks leveraging CCOR framework (., review and challenge of process, controls and risk assessments and performing monitoring and testing activities) Proactively analyze compliance and operational risks to identify and make recommendations for process or control changes and system enhancements Providing real-time guidance on applicability of corporate policies to the function Coordinating with colleagues in Legal and Compliance on industry developments and rulemaking, and keeping senior management informed of relevant developments Partner with first line of defense and CCOR to strengthen the compliance and operational risk environment of the firm using analytics and independent challenge(s). Assisting in regulatory reviews, audits, exams and inquiries related to group's activitiesRequired qualifications, capabilities and skills:
Minimum Bachelor’s Degree with 7+ years of experience in financial institution; specific experience in Risk Management, Compliance, Legal or Audit Excellent research, analysis, written and interpersonal and communication skills; must have ability to adjust communication style for a variety of situations and be able to defend your stance, as needed The candidate must be able to work in a fast paced environment, make decisions based on sound judgment, and utilize a well-maintained network of product and regulatory specialists as needed Experience of interactions with regulators is a plus High proficiency in Microsoft Office Suite Work flexible . Eastern Time hours (at least through 12:00 pm ET)Preferred qualifications, capabilities, and skills:
Understanding of the uses and application of data analytics and generative AI and LLM Strong sense of accountability and ownership of responsibilities; diligent, and self-motivated with ability to make independent decisions Intellectually curious, and comfortable challenging current practices Ability to foster relationships at all levels within the coverage area and associated control functions-
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