U.s. Regulatory Obligations amp Controls Coordinator Manager

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U.S. Regulatory Obligations & Controls Coordinator, Manager
The candidate will manage the U.S. Regulatory Library and Control Inventory, including collaborating and coordinating with U.S. business line compliance officers and business line support personnel to periodically update the U.S. regulatory obligations and associated controls. Serve as the U.S. point-of-contact for Global Compliance initiatives as they impact the U.S. Regulatory Library and Controls inventory, including discussions relating to extraterritorial obligations and associated controls. Support Global Compliance project team in the continued enhancement of a global database that houses all regulatory requirements/obligations and risk-related controls applicable to the Bank’s U.S. operations. Assist the Global Compliance project team in developing processes, systems, and standards to map and update applicable legal & regulatory requirements/obligations to relevant policies and procedures and internal controls in accordance with U.S. regulatory expectations and business/control functions. Support implementation of a global, cross-divisional framework for identifying and tracking legal & regulatory requirements/obligations, policies and procedures, and related internal controls. Support Regulatory Controls Management team with continuous enhancement of regulatory change management framework for identifying legal and regulatory developments and changes to related policies and procedures and internal controls that may impact the Bank’s U.S. operations and coordinating change management processes to address such developments. Support Regulatory Controls Management team with compliance risk assessments and address inquiries relating to U.S. Regulatory Library and Controls Inventory. Assist in establishing and maintaining appropriate standards for regulatory-risk related policies & procedures and related internal controls and ensure that front, middle and support office functions (including Compliance) adhere to such standards. Assist in the development and implementation of necessary compliance policies, procedures, and related internal controls consistent with legislative and regulatory requirements/expectations, emerging trends, and industry best practices. 5 years of compliance experience preferably with either (i) a major international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses or (ii) a major law firm or consulting firm supporting international financial institutions are required. 2 years of experience establishing and maintaining appropriate standards for regulatory-risk related policies & procedures and related internal controls within the financial services industry are required. A good understanding of applicable Federal and State laws applicable to non-US banks operating in the U.S., SEC registered broker-dealers, futures commission merchants, swap dealers and registered investment advisors are required. Project Management Experience are required. Experience with GRC tools, including implementation, administrative and general user profiles, identifying design issues and escalating to relevant stakeholders are required. Strong analytical and investigative skills and demonstrated ability to operate at a strategic level are required. Outstanding written (drafting & editing) and spoken communication abilities are required. Excellent teamwork, interpersonal and conflict resolution skills are required. Highly organized and capable of dealing with multiple, complex projects simultaneously are required. Proficiency with standard computer applications including Word, Excel, and PowerPoint are required. BA or international equivalent required. JD or equivalent preferred.

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