Vice President, Compliance Risk Assessment Officer
About the Company
Globally-recognized corporate & investment banking group
Industry
Banking
Type
Subsidiary of a Public Company
Founded
2004
Employees
5001-10,000
Categories
Specialties
About the Role
The Company is seeking a Compliance Risk Assessment Officer to join their Transversal Compliance Team. The successful candidate will be responsible for implementing the Compliance Risk Assessment Program, which is essential for the identification, assessment, monitoring, and mitigation of compliance risks. This role involves working closely with the 1st Line of Defence (LoD1) to ensure that all compliance risks are properly identified and mitigated, and with the 2nd Line of Defence (LoD2) to manage the CRA process and provide guidance. The Officer will also be tasked with preparing and running the annual CRA exercise, managing data collection and quality controls, performing a credible challenge of CRA results, and preparing management presentations and reports. Applicants for the Compliance Risk Assessment Officer position at the company should have a strong background in compliance, particularly within the Broker/Dealer business. Key responsibilities include participating in the design and update of the CRA methodology, being knowledgeable of FINRA and SEC rules, and preparing regular reports on the compliance program. The role requires a Certified Regulatory Compliance Manager (CRCM) with analytical skills for risk rating scoring, experience in managing or performing compliance risk assessment or RCSA exercises, and proficiency in Excel, PowerPoint, and data aggregation and visualization tools. The ideal candidate will be highly organized, with excellent written and communication skills, and will assist in managing the RCSA process, follow up on CRA action plans, and work with compliance teams to integrate CRA results into testing and training plans.
Hiring Manager Title
Head of Compliance Risk Assessment
Travel Percent
Less than 10%
Functions
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