Director Compliance Program Office

Profile

Director, Compliance Program Office
The candidate will be responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office of Ethics and Compliance, Chief Compliance Officer (CCO office). Serve as the central point of contact responsible for managing overall efforts to implement and maintain the controls framework for all of Member Supervision. Responsible, on behalf of Member Supervision, for the development, implementation and maintenance of the new Compliance program required by the CCO Office and working collaboratively with senior leaders in other functions on the integration of Member Supervision efforts with enterprise aspects of the Compliance program. Assess current state, identify gaps, design and own ongoing evaluation of controls framework for Member Supervision. Develop standards, policies and procedures for Member Supervision functions. Maintain and update the data, and Developing technology business requirements to maintain and manage data and processes. Be accountable for independently leading, overseeing and being the central point of contact for SVPs and heads of each Member Supervision functional area in the implementation of the controls framework by providing methodology, technical and subject matter expertise on rules and controls identification and assessment processes. Develop and train Member Supervision staff on controls framework requirements and processes. Work with SVPs and heads of each functional area and their staff to complete the rules and controls identification and assessment through an end-to-end process review. Maintain processes to update rules and controls on a timely basis. Critically assess the sufficiency and viability of proposed remediation efforts to resolve issues and enhance controls to prevent overlap/conflict; promoting compliance and alignment with overall Member Supervision strategy in the most efficient and effective manner, taking resources into consideration. Track and follow up on remediation and action plans and escalating to Member Supervision senior management, where necessary. Analyze data and identify risk and control trends from the assessment work.

Company info

Sign Up Now - EmploymentCrossing.com