Regulatory Compliance - Lead
We are looking for an amazing individual to join a growing compliance team.
Working as part of the Regulatory Compliance Team within the Global Risk Management organization, this role will play a key part in the success of meeting the company's regulatory and compliance obligations.
The Regulatory and Compliance Oversight Team is responsible for key components of the company's corporate compliance program such as, regulatory compliance oversight, policy governance, compliance training, anti-bribery and corruption oversight, regulatory supervision oversight, client due diligence and the SOC program.
Working as part of a team of attorneys and compliance professionals, this role will help enhance and mature the company's compliance program.
We are looking for someone who is interested in compliance with a strong project management, data analysis and reporting background to lead the client due diligence function.
Broadly speaking, the client due diligence activities include responding to client due diligence compliance questionnaires, participating in client meetings, and facilitating client audits.
Responsibilities & Deliverables:
Your responsibilities and deliverables as Client Due Diligence Leader will include, but are not limited to, the following:
Day to day management of the client due diligence program Collaboration with a small team of compliance professionals that are globally dispersed Delivery of the client due diligence program roadmap Development of client due diligence procedures, including regular review and updates as necessary Management of client audits and audit requests, including requesting and preparing materials, arranging logistics, coordinating meetings, facilitating communication, and development of responses, Management of client assessments to ensure timely and appropriate responses Evaluate and escalate client compliance issues as appropriate Track metrics on utilization of material and client support cases Ensure that standard due diligence material is accurate and up to date Communicating with customers, including through meetings, as required Track the expiration/refresh dates of all client due diligence material.
Obtain and follow-up as necessary to ensure timely receipts of client due diligence updates.
Update the product specific files within the client due diligence portal Provide necessary reporting to internal and external stakeholders on a regular cadence on the status of the CDD program and priorities.
Required
Experience:
Have at least three to five (3-5) years of work experience related to Compliance, Third Party Risk Management, Vendor Risk Management, Audit, Customer Technical Support, Risk Management, and/or Procurement, particularly in financial services.
Degree in the fields of Information Systems, Business Administration, or related major and possesses strong pragmatic business acumen.
Familiar with risks related to IT application development and infrastructure maintenance, IT security, business continuity and disaster recovery, and emerging technology platforms - mobile device platforms, cloud services, Big Data, and social media.
Strong understanding of vendor risk management practices, including the lifecycle of risk identification, treatment, mitigation, acceptance, remediation as well as inherent and residual risks.
Knowledge and experience with laws, regulations, guidelines, and frameworks within the financial services industry that mandate information security and information risk management requirements such as FFIEC, NIST, ISO27001, GLBA, OCC Heightened Standards, and etc.
Ability to perform research to provide material and evidence with internal and external inquiries.
Assist with crafting high-quality presentations and reports, conveying sometimes complex topics to several levels of management internally and with clients.
Tenacity with strong follow-up skills.
Strong ability to multi-task and works well under pressure Executive presence and always exhibits professionalism with clear written and oral communication skills.
Preferred Experience/Skills:
JD strongly preferred One or more relevant professional certification, such as Certified Information Security Manager (CISM), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certified in Risk and Information Systems Control (CRISC), Certified Regulatory Vendor Program Manager (CRVPM) or Certified Third Party Risk Professional (CTPRP).
Experience working in financial services and/or financial technology (FinTech) industries Knowledge of Department of Justice Corporate Compliance Program Guidance, Anti-bribery and Corruption laws, and Data Protection and Privacy Laws Experience working directly with Management of a large international organization Experience designing, implementing and working with data analysis and visualization tools, such as Power BI or Tableau and Expertise with Microsoft Excel and/or Word The above statements describe the general nature and level of work being performed by people assigned to this job.
They are not intended to be an exhaustive list of all responsibilities, duties, and skills required.
Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential job functions.
If you need assistance or an accommodation due to disability please contact your recruitment partner.
Recommended Skills Assessments Auditing Big Data Business Administration Business Continuity And Disaster Recovery Certified In Risk And Information Systems Control Estimated Salary: $20 to $28 per hour based on qualifications.
Working as part of the Regulatory Compliance Team within the Global Risk Management organization, this role will play a key part in the success of meeting the company's regulatory and compliance obligations.
The Regulatory and Compliance Oversight Team is responsible for key components of the company's corporate compliance program such as, regulatory compliance oversight, policy governance, compliance training, anti-bribery and corruption oversight, regulatory supervision oversight, client due diligence and the SOC program.
Working as part of a team of attorneys and compliance professionals, this role will help enhance and mature the company's compliance program.
We are looking for someone who is interested in compliance with a strong project management, data analysis and reporting background to lead the client due diligence function.
Broadly speaking, the client due diligence activities include responding to client due diligence compliance questionnaires, participating in client meetings, and facilitating client audits.
Responsibilities & Deliverables:
Your responsibilities and deliverables as Client Due Diligence Leader will include, but are not limited to, the following:
Day to day management of the client due diligence program Collaboration with a small team of compliance professionals that are globally dispersed Delivery of the client due diligence program roadmap Development of client due diligence procedures, including regular review and updates as necessary Management of client audits and audit requests, including requesting and preparing materials, arranging logistics, coordinating meetings, facilitating communication, and development of responses, Management of client assessments to ensure timely and appropriate responses Evaluate and escalate client compliance issues as appropriate Track metrics on utilization of material and client support cases Ensure that standard due diligence material is accurate and up to date Communicating with customers, including through meetings, as required Track the expiration/refresh dates of all client due diligence material.
Obtain and follow-up as necessary to ensure timely receipts of client due diligence updates.
Update the product specific files within the client due diligence portal Provide necessary reporting to internal and external stakeholders on a regular cadence on the status of the CDD program and priorities.
Required
Experience:
Have at least three to five (3-5) years of work experience related to Compliance, Third Party Risk Management, Vendor Risk Management, Audit, Customer Technical Support, Risk Management, and/or Procurement, particularly in financial services.
Degree in the fields of Information Systems, Business Administration, or related major and possesses strong pragmatic business acumen.
Familiar with risks related to IT application development and infrastructure maintenance, IT security, business continuity and disaster recovery, and emerging technology platforms - mobile device platforms, cloud services, Big Data, and social media.
Strong understanding of vendor risk management practices, including the lifecycle of risk identification, treatment, mitigation, acceptance, remediation as well as inherent and residual risks.
Knowledge and experience with laws, regulations, guidelines, and frameworks within the financial services industry that mandate information security and information risk management requirements such as FFIEC, NIST, ISO27001, GLBA, OCC Heightened Standards, and etc.
Ability to perform research to provide material and evidence with internal and external inquiries.
Assist with crafting high-quality presentations and reports, conveying sometimes complex topics to several levels of management internally and with clients.
Tenacity with strong follow-up skills.
Strong ability to multi-task and works well under pressure Executive presence and always exhibits professionalism with clear written and oral communication skills.
Preferred Experience/Skills:
JD strongly preferred One or more relevant professional certification, such as Certified Information Security Manager (CISM), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certified in Risk and Information Systems Control (CRISC), Certified Regulatory Vendor Program Manager (CRVPM) or Certified Third Party Risk Professional (CTPRP).
Experience working in financial services and/or financial technology (FinTech) industries Knowledge of Department of Justice Corporate Compliance Program Guidance, Anti-bribery and Corruption laws, and Data Protection and Privacy Laws Experience working directly with Management of a large international organization Experience designing, implementing and working with data analysis and visualization tools, such as Power BI or Tableau and Expertise with Microsoft Excel and/or Word The above statements describe the general nature and level of work being performed by people assigned to this job.
They are not intended to be an exhaustive list of all responsibilities, duties, and skills required.
Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential job functions.
If you need assistance or an accommodation due to disability please contact your recruitment partner.
Recommended Skills Assessments Auditing Big Data Business Administration Business Continuity And Disaster Recovery Certified In Risk And Information Systems Control Estimated Salary: $20 to $28 per hour based on qualifications.
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