Compliance Asset Management Compliance - Core Compliance Vice President

Profile

Compliance, Asset Management Compliance - Core Compliance, Vice President
The candidate will deliver on many of the initiatives at the forefront of ensuring the firm's compliance program is best in class, factoring in the latest regulatory guidance and industry standards. Manage the firm’s key risk assessment processes and in driving forward global special projects that advance firmwide initiatives that are regulatory driven and/or related to AMD. Oversee the second line Compliance Risk Assessment of the Asset Management Division, including central coordination and organization; helping to ensure consistency, accuracy, and completeness; training of assessors; and substantive drafting/rating of centrally managed risks. Oversee the AM Compliance controls and risks inventories, including change management. Oversee AM Compliance involvement in the first line Risk and Control Self-Assessment. Analyze trends in risk assessment results and develop reporting. Oversee central requests impacting AM Compliance relating to key rules inventory and regulatory change process. Oversee the Compliance Evaluation Framework reporting for AM Compliance, a bi-annual process to measure sustainability and effectiveness of the compliance program. Represent AM Compliance in firmwide global special projects that are regulatory driven and/or related to AMD. Bachelor's degree required; JD is preferred. Experience with compliance risk assessments and/or risk and control self-assessments is preferred. Should have 4-8 years’ experience in compliance or risk management in the financial services industry.

Company info

Sign Up Now - EmploymentCrossing.com