Compliance Risk Review Opportunity

Compliance Risk Review Opportunity

Compliance Risk review position

One of our premier clients is seeking candidates for a Compliance Risk review position. The position will involve:
Planning for and managing compliance reviews according to the established review schedule and ad hoc regulatory / business commitments;
Planning for review scope, budget and testing approach
Performing 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.
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
Maintain a broad knowledge of the Firm's business and regulatory framework in which it operates
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

Basic Qualifications
Education:
4 year Undergraduate Degree
Experience:
4+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank including experience with investment banking products, experience with Federal banking rules and regulations a plus
Preferred Qualifications:
Knowledge of FINRA, SEC and other regulatory rules and regulations
Ability to analyze and interpret regulatory rules and their impact on the business
Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities
Enforcement experience with FINRA, SEC or other regulatory agency a plus
Industry affiliations
Energetic, detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to comments and questions regarding review work
Demonstrated analytical skills
Demonstrated written and oral communication skills
Demonstrated interpersonal skills
Constructive and positive approach to challenges
Self motivated, proactive and able to manage multiple priorities
Ability to work independently and in a team environment
Ability to represent and enforce compliance while considering the needs of the business
Able to support point of view when challenged
Ability to anticipate and provide solutions to complex problems

If you feel you meet the above criteria, please submit your resume in MS WORD format. We will reach out to you upon receipt to discuss this opportunity further. Please be sure to include COMPLIANCE RISK REVIEW in the header of your email.

Thank you

• Compensation: Competitive
• Principals only. Recruiters, please don't contact this job poster.
• Please, no phone calls about this job!
• Please do not contact job poster about other services, products or commercial interests.