SVP Compliance Product Senior Officer 1 - NAM Global Functions ICRM Finance Treasury Liquidity/Interest Rate Risk

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SVP Compliance Product Senior Officer 1 - NAM Global Functions ICRM Finance Treasury Liquidity/Interest Rate Risk
The candidate will be serving as a senior function/business/product compliance risk officer 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. Engaging with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the firm program framework. Monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures. Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM to cover Global Treasury, Balance Sheet Management and Treasury Investments primarily focused on Liquidity Risk Management and Interest Rate Risk in the Banking Book (IRRBB) including Funds Transfer Pricing (FTP). 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 function/business/product regulations on a real-time basis to manage compliance risk. Staying abreast of relevant changes to rules/regulations and other industry news including regulatory findings in Treasury, including IRRBB, FTP and Liquidity Risk. Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product. Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact. Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge. Participating in industry groups and trade association working groups or other forums. 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. JD, MBA) is a plus. Should have 2+ years of experience in and familiarity with laws, rules and regulations for Treasury, Liquidity and/or IRRBB and FTP. 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 is required. Previous experience managing a diverse staff is required.

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