Purpose of Job:
As part of the IB Compliance relationship team, this position will ensure that the Global Banking & Markets (GBM) and Global Treasury (GT) Compliance programs are properly executed in International Bankinglocations.
Strong collaboration will be needed with the subject matter experts in Global Banking & Markets and Global Treasury Compliance, who are responsible for the global standards for their areas and provide expert advice & counsel to Compliance and Business lines.
While the Country or Regional Country Compliance Head is ultimately responsible for all Compliance programs in IB location, this position, in collaboration with GBM/GT Compliance, will provide oversight and guidance to the local GBM/GT Compliance program, including ensuring proper escalation and resolution of non-compliance and otherrisks and issues, preparation and challenge to risk assessments and monitoring & testing plans and other activities as set out in the Global Compliance Standards and Target Operating Model.
Key Job Accountabilities:
- In cooperation with global and regional compliance leadership, the incumbent will be responsible for contributing to GBM Compliance’s (referred to below as “Compliance”) ongoing promotion of a globally consistent, customer focused and performance oriented culture, based on the tenets of professionalism, continuous improvement and accountability.
- The position has the following accountabilities, as they relate to GT’s global treasury operations (referred to below as “GT operations”):
- Management of IB Compliance’s day to day relationships with GBM and GT Compliance and Business Management ff in International Bankinglocations to ensure globally consistent, efficient and effective compliance coverage to GBM/GT and its stakeholders.
- Ensuring GBM/GT Product specialists and Compliance management are continuously engaged for advice & counsel ,to local Compliance operations, as required.
- In cooperation with Global Compliance (Enterprise, IB and GBM/GT) and country/ regional compliance leadership provide coordination, coaching and mentoring to regional compliance officers that support GBM/GT units, in order to facilitate the delivery of globally consistent compliance support and the ongoing development of its compliance officers.
- In cooperation with Global Compliance (Enterprise, IB and GBM/GT) and country/ regional compliance leadership ensure that global and local Compliance policies and procedures reflect, at a minimum, relevant global Compliance standards and applicable legislative and regulatory requirements.
- In cooperation with Global Compliance (Enterprise, IB and GBM/GT) and country/ regional compliance leadership play a central role in the ongoing coordination and management of the regulatory change, including coordinating the ongoing tracking, assessment, escalation and action planning relevant to regulatory change events.
- In cooperation with Global Compliance (Enterprise, IB and GBM/GT) and country/ regional leadership, play a central coordination role in the ongoing development and delivery of compliance training programs for relevant GBM and country/regional Compliance personnel.
- Provide ongoing reporting on and escalation of material issues to IB and GBM/GT Compliance management relating to GT and/or GBM Compliance’s global operations, monitoring and testing results, internal audit/regulatory review results and regional site visits.
- Assists on specific projects (e.g. special investigations, regulatory initiatives etc.) as well as the application of the Bank’s risk appetite and risk culture in day-to-day activities and decisions.
- In concert with Global and Country/Regional Compliance management, motivates individuals by fostering an inclusive and diverse work environment.
- Post-secondary education with relevant experience in the financial services industry, preferably within a capital markets or treasury business line, compliance, operations and technologyaudit or risk management function.
- Strong knowledge of capital markets or treasury products, services and operating models.
- Familiarity with global regulatory and industry trends relevant to large, global capital market and treasury operations.
- Ability to learn, adapt and remain resilient in a dynamic regulatory and business environment
- Excellent written and verbal communication skills in English and Spanish is required.
- An enquiring mind, sound judgment and a strategic thinker who can, when appropriate, be tactical and pragmatic
- Experience developing, enhancing and/or coordinating global programs would be an asset
- Experience coaching and mentoring staff in foreign locations would be an asset.
- Experience leading teams through transformational change events would be an asset.
Requisition ID: 19208