Vista previa de la oferta
Senior Vice President, Business Compliance Officer
senior · Audit & Accounting
We’re seeking a future team member for the role of Business Compliance Officer to join our Risk & Compliance team. This role is located in Pittsburgh, PA and Lake Mary, FL.
In this role, you’ll make an impact in the following ways:
- Provide accurate and timely technical advice and guidance to business/business partner colleagues on regulatory compliance and operational issues.
- Maintains strong working relationships with senior business unit managers in order to ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities
- Analyze existing rules, regulations, consultative papers and other regulatory announcements and industry practices to ensure the Corporate Trust business is in compliance with current requirements.
- Evaluate control processes to ensure they are designed to mitigate risks arising from applicable laws, rules and regulations and are operating effectively; work with the business to design, implement and document improvements to those controls, where necessary.
- Provide input to the strategic direction of the BCO responsibilities
- Undertake Compliance Risk Assessments for Corporate Trust and collaborate with the business to remediate residual risks and control weaknesses
- Support the business and provide challenge on all other assessments that impact the business.
- Provide constructive challenge within meetings regarding relevant regulatory requirements
- Contributes to the development of projects and programs to improve compliance and enhance the control environment.
- Participate in or lead the development and delivery of Compliance related training.
- Provide support to the Business and Compliance Testing and Audit teams at the appropriate stages of Compliance Testing and Audit reviews. This comprises sharing of information with Compliance Testing and Audit colleagues regarding the business lines and/or regulatory themes they are planning to review and assisting the Business in designing and implementing any corrective action identified through the testing or audit reviews.
- Contribute to the preparation of time sensitive reporting and appropriately escalate issues to more experienced professionals.
- Contributes to the establishment of key risks indicators (KRIs) and tracking and reporting methodologies as part of a standard system of measurement and reporting.
- Contributes to the achievement of team objectives.
- Other duties as required
To be successful in this role, we’re seeking the following:
- Bachelor‘s degree or the equivalent combination of education and experience is required. Business, Law or Finance degree preferred. Paralegal, MBA or Law degree a plus.
- Industry compliance qualifications/Professional qualifications
- Prior experience 10-12 years of total work experience preferred.
- Compliance, Financial Services, Audit, Legal or Operations background and/or experience with Corporate Trust products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators required.
- Solid understanding of financial services products and operations
- Relevant technical knowledge of US regulatory framework
- Focused attitude to work with the ability to meet deadlines while ensuring attention to detail and high level of accuracy.
- Excellent interpersonal and communication skills with senior business management
- An ability to provide strategic leadership within the immediate team and wider Compliance group.
- An ability to provide effective and constructive challenge.
- Strong analytical skills, detail focused; ability to identify patterns or connections between situations that are not obviously related and to determine key underlying issues in complex situations.
- Ability to think pragmatically and proactively suggest solutions.
- Team player and flexibility in a fast-paced environment
- Articulate and able to represent Compliance to senior business personnel and external stakeholders with confidence.
- Excellent writing and presentation skills
- Intermediate to Advanced Computer Skills and Aptitude (MS Products, SharePoint, Teams)