*responsibilities*:
- participating in the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting businesses and control functions.
- liaising with the supervisory agency teams, including responding to ad hoc requests / inquiries and hosting meetings with senior managers held in connection with ongoing supervision efforts.
- partnering with regional exam management and regulatory liaison offices, local advisory compliance teams, business, risk, legal, operations, and technology to identify, gather and produce responsive documents and information.
- identifying and escalating issues raised in the course of regulatory exams and supervisory activity.
- promoting awareness of trends identified during exam management activity and drive common messaging across our organization.
- participating in uat testing and working groups on behalf of the exam management and regulatory liaison offices to enhance the firm's current regulatory tracking processes, standards and systems.
- preparing internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
- developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations
- additional duties as assigned.
- knowledgeable in area of focus
- participates at in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
- utilizes issue management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
- ensure a culture of accountability, integrity and respect
- works issues/projects as assigned to support improvements
- negotiate solutions and acts as a liaison with internal and external clients
- evaluate cost/benefits, make recommendations, develop and oversee implementation plans
- provides judgment based on analysis of factual information in complicated and unique situations
- implement and develop controls to prevent risk within specialized business
- analyzes and identifies risk and performs analytical reporting
- drives corrective actions
- coordinates and assists with onsite reviews
- completion of compliance documentation and on boarding activities relevant to compliance due diligence.
- has the ability to operate with a limited level of direct supervision.
- can exercise independence of judgement and autonomy.
- acts as sme to senior stakeholders and /or other team members.
*qualifications*:
- knowledge of compliance laws, rules, regulations, risks and typologies
- excellent written and verbal communication skills
- must be a self-starter, flexible, innovative and adaptive
- effective interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- excellent project management and organizational skills and capability to handle multiple projects at one time
- 5-8 years of risk and control management experience
- high attention to detail and quality
- demonstrated analytical and problem-solving skills.
- effective planning and organizational skills
- consistently demonstrates clear and concise written and verbal communication skills
- proven ability to make sound business decisions
- experience in creating and implementing processes that result in improved business performance
- ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view.
*education*:
- bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; advanced degree a plus
qualifications and competencies
- should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class risk management, compliance, and audit/supervisory methodologies.
- self-motivated, detailed oriented, and ability to multi-task especially interchange of regulatory engagement internal initiatives (e.g., scorecard review vs. review of regulatory specific deliverables).
- ability to meet strict deadlines, either internal or external (e.g., regulators).
- ability to think "out-of-box" in order to add value and provide clear guidance to audit teams
- clear understanding of the underline purpose of the deliverables being reviewed (e.g., ensuring a specific concern raised by ia or regulatory agencies has been addressed and whether or not it is sustainable).
- strong data analytics skills and experience with data to identify risk and anomalies wit