Director Head of Corporate Functions

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Director, Head of Corporate Functions
The candidate will be responsible for maintaining a comprehensive compliance program for the US corporate functions in coordination with other compliance teams including Enterprise Compliance, Global GBM&T Compliance, US Compliance advisory teams, and the US Central Compliance Controls and Processes team. Will oversee the US Employee Compliance Program, including employee registration, personal account dealing, and employee training programs. Leads and drives a customer-focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge. Work with various Corporate Functions to ensure that **MEMBERS ONLY**SIGN UP NOW***. complies with applicable laws, regulations, and best practices associated with cybersecurity. Ensure corporate functions have (and maintain) appropriate policies, procedures, and controls addressing applicable laws, regulations, SRO rules, and industry best practices and monitoring adherence with such policies, procedures, and controls. Assist Compliance testing team: identify high-risk areas within corporate functions, develop effective testing methodologies, complete testing reviews in a timely manner, and prepare clear and accurate test results with actionable recommendations. Identify training needs and develop training materials and programs designed to ensure that corporate functions have a high level of awareness of applicable legal/regulatory expectations. Assist with reviews and investigations of potential violations or breaches of applicable laws, regulations, or internal policies involving corporate functions, including assisting with the identification of root causes and the development and implementation of remediation plans. Provide regular reports to Bank/SCUSA management, corporate function management, and Compliance management and escalate any material matters to senior compliance officers and senior management as appropriate. Assist the Regulatory Relations team with regulatory examinations and inquiries from the key regulators that oversee the US Bank including the Federal Reserve, New York State Department of Financial Services, FINRA, SEC, and CFTC. Maintain an awareness of and monitor the regulatory environment for emerging legislation and policy statements, along with relevant trends and industry best practices applicable to the Bank/SCUSA through review of publications, participation in industry associations, participation in regulatory change management forums, contact with regulators, and liaison with counsel and auditors. Other duties and projects may be assigned from time to time, such as Risk Assessments and audit responses. Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. Creates an environment in which his/her team pursues effective and efficient operations of own respective areas while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, and the Guidelines for Business Conduct. Builds a high-performance environment and implements a people strategy that attracts, retains, develops, and motivates the team by fostering an inclusive work environment, communicating vision/values/business strategy, and managing succession and development planning for the team. Perform other duties and projects as may be assigned.

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