Compliance Risk Management Data Analysis Lead - Vp

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Compliance Risk Management Data Analysis Lead - VP
Responsibilities: Providing day-to-day advice and guidance to US Client Service teams. Maintaining the Compliance risk assessment (currently ISRA) for Client Service Americas and AM Client Service. Conducting Compliance training and draft Compliance Bulletins and Policies (including AM’s Bank Regulatory Policy) to educate stakeholders on key control issues and regulatory developments. Conducting periodic reviews of applicable policies and advise the business on issue management and change management, including review of procedures. Supporting Compliance engagement and/or act as a delegate in governance forums. Supporting business and Compliance responses to regulatory engagements (exams/requests). Performing monitoring of Client Service team’s activities and assist in testing design, planning and implementation. Review and disposition cases for the Market Conduct Violation framework involving Client Service personnel. Taking a leadership role across AM as it relates to client due diligence meetings and questionnaires and RFPs.

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