Compliance Escalation And Incident Reporting Vice President

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Compliance Escalation And Incident Reporting Vice President
The candidate will be participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for ICRM, Specifically, assist leadership in: Escalations and Issue Reporting: Assist in the Development and maintenance of an escalation governance and oversight framework to comply with regulatory expectations of aggregation and reporting of compliance risk incident escalations enterprise-wide to senior management, the Board of Directors, and Compliance Assurance. Participate in key working sessions related to escalation policies and revisions and incident escalation and issue reporting; Review and provide input on firm escalation policies; Review stakeholder communications and reporting for input and potential enhancements; Support the process of ICRM receipt of compliance risk management incidents and issues, and tracking them to resolution, including the analysis of incidents and issues for purpose of developing trend information; Work with Businesses (front office and control functions) and Functions to understand Incident and Issue trends; Partner with Businesses, Functions, ICRM, and Technology to enhance Incident and Issue escalation and reporting tools and processes, as necessary; Coordinate with ICRM Compliance Assurance with respect to Incidents and Issues and trend information; Respond to stakeholder inquiries related to Incident Escalation and Issue Reporting; Support Escalation Policy communication and training needs. Analyzing complex comparative data, preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of compliance related issues. Reviewing materials to ensure compliance with various regulatory and legal requirements and to ensure compliance risks are appropriately identified and addressed. Investigating and responding to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries. Overseeing the monitoring of adherence to company’s Compliance Risk Policies and relevant procedures and preparation, editing, and maintenance of Compliance program related materials. Interacting and working with other areas within company, as necessary. Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas. Additional duties as assigned. Must have Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus. Advanced degree (e.g. JD, MBA) a plus. Should have knowledge of Compliance laws, rules, regulations, risks and typologies. Must have strong written and verbal communication and interpersonal skills. Must be proficient in MS Office applications (Excel, Word, PowerPoint). Experience in managing regulatory exams and relationships with examiners, auditors,etc. desired.

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