Senior Compliance Officer - Human Resources svp

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Senior Compliance Officer - Human Resources (SVP)
The candidate will be covering the Human Resources (HR) function for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet HR stakeholder needs in a manner consistent with the firm's program framework. Compliance monitoring, providing day-to-day Compliance advice relating to core HR activities and operations, such as incentive or variable compensation and talent acquisition as well as guidance to HR regarding associated regulatory rules/laws and interpretation on internal policies and procedures. Designing, developing, delivering and maintaining best-in-class Compliance, programs, including compliance monitoring and governance reporting activities across the HR function for ICRM. Translates ICRM strategy and goals across the firm's clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs. Serving as a subject matter expert on the firm's Compliance programs. Provides expert guidance on financial services regulations applicable to HR (e.g. OCC Heightened Standards, FRB SR 08-8, and Interagency Guidance on Sound Compensation) on a real-time basis to manage compliance risk. Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings with potential HR impact. Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to HR. Analyzing and scoping the impact of new and complex regulatory developments, including cross-border impact. Advising ICRM and HR management and personnel on regulatory and compliance issues and provide credible challenge. Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements. Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit. Designing and lead compliance and control reviews. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance. Additional duties as assigned. Should have Bachelor’s degree. Advanced degree (e.g. J.D.) is preferred. Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements is required. Proven background and experience with designing and executing compliance monitoring routines for higher risk activities and controls is required. Experience in managing regulatory exams and relationships with examiners, auditors, etc. is required.

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