Lead Compliance Specialist

Lead Compliance Specialist

Requirements

• Bachelors Business Administration and Management, Law, Accounting, Finance or related.
• 4+ years Project Management, Compliance, Law, Risk, Operations, Governance or Related Field
• In Lieu of Education Experience; 6+ years Project Management, Compliance, Law, Risk Operations and Governance or Related Field

Responsibilities

• Assists more senior compliance professionals in evaluating the adequacy of business policies, procedures, training and reference materials, system and manual processes and provides support for research of regulatory requirements.
• Assists Principals, Managers or Senior Manager in discrete portions of larger projects.
• Ensures compliance issues are brought to the attention of senior compliance professionals.
• Maintains a high level of awareness and knowledge of regulatory compliance requirements and assisting in the identification of compliance risks.
• Assists in providing updates for status reports of program initiatives, obtaining and developing content for management and committee presentation / reporting activities.
• Assists the Sales team with internal audits of the Sales team acting as a liaison between Audit and Sales providing guidance on evidence submissions.
• Assists the Sales team with operational risk control testing acting as a liaison between the testing team and sales team providing guidance on testing evidence submissions.
• Work with the Sales team to manage their procedures. Provide guidance on the creation and editing of the procedures to meet compliance requirements.

Preferred Qualifications

• Masters Law ,Business Administration and Management, Finance or related
• 4+ years • Models, champions, and reinforces a risk culture of compliance and transparency.
• Applies general understanding of risk identification and assessment processes, tools and techniques to provide oversight and challenge to risk measurement activities.
• Demonstrates knowledge and understanding of compliance laws and regulations.
• Demonstrates knowledge of the Compliance Management System components related to: Policies and procedures, and clear communication of intended procedural expectations and process. Governance and reporting processes that provides a mechanism to identify, manage and escalate risks according to the organization’s risk appetite. Evaluation of and/or challenges processes, new/existing products or services, regulatory changes, customer communications, and/or technologies to ensure Compliance risks are identified and mitigated. Identification and escalation of compliance risk management issues in a timely and effective manner, including ability to manage, monitor, and report on issues and development of action plans. Risk monitoring and testing activities to determine whether regulatory requirements are being adhered to and/or Controls are operating effectively. Identification of regulatory risks and adequate risk mitigants, as well as effectively challenging assessment of controls to prevent, detect, and correct errors. Handling of complaints, evaluating business initiatives and providing research on potential regulatory impacts. Due diligence on new and existing Third-Party engagements commensurate with the level of compliance risk involved in the services being provided. Comprehensive, risk-based Compliance training specifically tailored to job roles and responsibilities.
• 4+ years • Effective communication (written and verbal) that includes core components of active listening, persuasiveness, collaboration, and conciseness when meeting with and presenting to peers, various levels of leadership and other lines of business.
• Build partnerships and work collaboratively with others to meet shared objectives.
• Optimizes work processes with a focus on continuous improvement.
• Certified Regulatory Compliance Manager Upon Hire
• Professional Project Management Upon Hire
• Other: JD, CISA, CIPP, CRMP, RIMS or similar preferred