Lead Compliance Officer Corporate amp Investment Banking

Profile

Lead Compliance Officer – Corporate & Investment Banking
The candidate will provide oversight and monitoring of business group risk-based compliance programs. Will maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines. Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements. Oversee the Front Line's execution and challenges appropriately on compliance-related decisions. Develop, oversee, and provide independent credible challenges to standards with subject matter expertise. Provide direction to the business on developing corrective action plans and effectively managing regulatory change. Report findings and make recommendations to management and appropriate committees. Identify and recommend opportunities for process improvement and risk control development. Receive direction from leaders and exercise independent judgment while developing the knowledge to understand functions, policies, procedures, and compliance requirements. Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management. Oversee the Front Line's execution and challenges appropriately on compliance-related decisions. Make decisions and resolve issues to meet business objectives. Interpret policies, procedures, and compliance requirements. Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals. Work with complex business units, rules and regulations on moderate to high-risk compliance matters. Interface with Audit, Legal, external agencies, and regulatory bodies on risk-related topics.

Company info

Sign Up Now - EmploymentCrossing.com