Senior Compliance Officer- Surveillance And Monitoring

Profile

Senior Compliance Officer- Surveillance and Monitoring
The candidate will interpret new or existing laws, rules and regulations that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations to assigned areas of responsibility. Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions. Develop Risk Committee materials, including evaluation of program effectiveness, level and direction of risks, key and emerging risks, and status of previously-identified risk and control issues. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies. Conduct Capital Markets Surveillance activities. Review and approve marketing materials and advertising for broker dealer social media. May serve as mentor to other Compliance Officers and Analysts. Conduct electronic communication surveillance of the broker dealer and swap dealer activities. Partner with LOB leaders and other senior Trust teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience is needed. Should have 8+ years of institutional broker dealer experience. Should have 5+ years of direct experience in compliance. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance is needed. Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management is needed. MBA, Juris Doctorate or other advanced degree is preferred. Should preferably have 8+ years of compliance experience, with five years at medium to large financial institution. Prior supervisory or management experience is needed.

Company info

Sign Up Now - EmploymentCrossing.com