Compliance Senior Manager

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Compliance Senior Manager
The candidate will be responsible for the effective management of regulatory developments and change as part of overall enterprise strategy in managing regulatory risk and ensuring compliance with regulatory requirements. Central coordination point for assessment and reporting of internal and external regulatory matters and activities, identifying and analyzing themes and developments and reporting on risk concentration, impacts and themes. Driving greater awareness, transparency and accountability across the firm related to exam schedule/status, regulatory enforcement/remediation, regulatory themes, concentrations of regulatory-related risk (i.e., regulation level, product level) and “horizon” risks as they emerge. Assessing and reporting industry and internal events and their impact on the firm risk profile. This will be performed by aggregating information across various programs including Regulatory Change Management, Compliance, and Legal/Regulatory Relations. Proactively oversee regulatory finding response and remediation, ensuring proper diligence is in place at action plan development, and driving escalation/action as needed during remediation. Daily review and disposition of all regulatory content published to the enterprise regulatory library system of record, CUBE, documenting applicability to the enterprise as a Financial Institution and impacted businesses. Oversight of any new or amended rules to ensure timely review and action by designated business risk partners. Collaboration with designated business risk partners to remain apprised of status of ongoing regulatory implementations and remediation activities, as well as to ensure compliance with regulatory requirements ahead of compliance dates. Analysis and preparation of monthly metrics, including supporting evidence. Development and delivery of communications, training, and outreach to ensure impacted stakeholders have awareness of, and have opportunities to provide feedback on, program changes. Production of regular reports for relevant stakeholders, management, and governance bodies. Assisting with preparation for regulatory exams, specifically in the creation of written responses to inquiries and/or verbal presentations of key processes. Partnering with broader Non-Financial Risk Management team, notably Compliance, on streamline and further integrating non-financial risk programs. All other business objectives as assigned. Bachelor’s Degree is required. Professional designations (CRCM, law degree) is a plus. Should have 3+ years of relevant experience in a compliance role and/or the banking or financial services industries. Familiarity with GRC tools is desired.

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