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Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
Provide compliance risk and regulatory expertise for compliance program elements
Recommend opportunities for process improvement and risk control development
Manage coordination and communication with leadership regarding compliance risks
Implement strategic initiatives with moderate risk and complexity
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and influence all levels of professionals including managers
Lead team to achieve objectives
Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
Manage allocation of people and financial resources for Compliance
Mentor and guide talent development of direct reports and assist in hiring talent
Requirements
5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of Leadership experience
Must have experience in Personal Account Dealing, Outside Activity Compliance and Info Barrier Surveillance