Compliance Risk & Testing, VP

Confidential Company  •  New York, NY

8 - 10 years experience  • 

Salary depends on experience
Posted on 05/22/18
Confidential Company
New York, NY
8 - 10 years experience
Salary depends on experience
Posted on 05/22/18

Principal Duties and Responsibilities

Conduct compliance risk assessment of the offices in the Americas on a regular and continued manner.

  • Perform risk assessment.
  • Maintain and upgrade KRIs in the form of a database/data repository to support the development and implementation of a multi-yearrisk assessment process that houses the regional risk frameworks, local inventories of compliance obligations.
  • Report the assessment result to the management and disseminate with stakeholders.

Conduct compliance testing at offices in the Americas region.

  • Lead compliance testing, identify issues and make recommendations and report the result.
  • Follow up on the findings of testing and on the status of remediation process.

Understand the Americas offices’ compliance status and the compliance framework.

  • Perform offsite monitoring of the offices in the region; review and understand the offices’ Compliance Action Program, Compliance Committee Minutes, external/internal exam/auditreports, etc.

Respond to individual inquiries/ issues from each office etc.

  • Function as a liaison with the Head Office Compliance Group and offices in the Americas.

Conduct other related tasks in ACLD.

Qualifications

  • Eligible to work in the US
  • Bachelor’s degree
  • 7+ years of compliance/complianceauditexperience
  • 3+ years of compliance risk assessment and/or compliance testing
  • Corporate / commercial bankingexperience
  • Strong analytical and organizational skills
  • Advanced Excel/Access skills
  • Excellent interpersonal and communication skills
  • Ability to work cooperatively with other members of the team and the Department

R1611

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