AVP-Compliance Officer

Immediate need for a talented AVP-Compliance Officer. This is a 08+months contract opportunity with long-term potential and is located in Jersey City, NJ (Onsite). Please review the job description below and contact me ASAP if you are interested.

Job ID:  25-78258

Pay Range: $75 - $95/hour.  Employee benefits include, but are not limited to, health insurance (medical, dental, vision), 401(k) plan, and paid sick leave (depending on work location).

Key Responsibilities:

• Demonstrate Client’s commitment to managing the firm’s regulatory risk by assisting in the administration of a comprehensive Regulatory Identification and Change Management (RICM) program for the US.
• The Compliance RICM team is responsible for: (1) monitoring regulatory developments across applicable issuing bodies for regulatory developments within the Compliance framework, and facilitating the process to communicate, assess and implement related relevant regulatory requirements; (2) updating and maintaining the US laws, rules and regulations library (LRR); and (3) maintaining the Compliance US mapping of LRRs to policies, procedures and controls.
• Timely review and analysis of regulatory developments including regulatory changes issued by state and federal securities and prudential regulators and self-regulatory organizations (NYDFS, NYFRB, FRB, SEC, CFTC, FINRA, NFA, MSRB, NYSE, CME etc.,) to determine applicability.
• Timely communication of regulatory updates issued by regulators to subject matter experts within the firm that determine impact(s) and implement changes.
• Ensuring regulatory changes are appropriately actioned, including tracking and monitoring progress of impact assessments and implementation projects.
• Assist in the production of data metrics and management information required to ensure appropriate internal reporting, and oversight of the work performed.
• Assist in drafting regulatory obligations.
• Mapping relevant regulatory obligations to the risk taxonomy.
• Complying with external regulatory requirements and expectations; internal control standards; Group, Americas, IHC and Operating Entity policies, procedures and standards with regard to Regulatory Identification and Change Management program as appropriate.
• LRR updates and regulatory obligations mapping to policies and procedures and controls responsibilities include:
• Maintaining a process to update the US Regulations Library
• Coordinating with stakeholders and SMEs including Compliance and business lines
• Monitoring end-to-end obligation mapping to policies, procedures and controls
• Reporting mapping gaps/progress

Key Requirements and Technology Experience: 

• Key Skills; Regulatory Risk, regulatory developments, regulatory changes, Compliance, Data Analytics
• 3 to 5 years’ experience working for a financial services firm and/or self-regulatory organization in Compliance, Risk, Regulatory roles and /or data analytics roles.
• Comfortable reading and interpreting regulatory notices and changes from regulators, including but not limited to, state/federal prudential regulators in the US, self-regulatory organizations and exchanges (NYFRB, FRB, SEC, CFTC, FINRA, NFA, MSRB NYSE, CME, etc.,) that are applicable to the businesses of a foreign banking organization’s businesses, processes and operations (investment banking, corporate banking, markets activities, bank regulatory matters etc.,).
• Presentation and reporting skills including MS Excel, SharePoint, Word, and PowerPoint.
• Strong knowledge of data analytics, working with structured and unstructured data. 
• Experience with visual analytics tools (PowerBI, Tableau and/or other tools).
• Strong execution skills with the ability to work successfully under demanding deadlines.
• Team player with the ability to work collaboratively with front, back office and Compliance stakeholders and senior management.
• Strong communication skills including proficiency in writing concise and substantive commentary to summarize results. 
• Strong attention to detail.
• Problem solving skills.
• Knowledge of corporate and institutional banking laws, rules, regulations, supervisory guidance, and industry best practices.
• BA or BS Degree a must.   
• Understanding regulatory notices and changes from regulators, including but not limited to, state/federal prudential regulators in the US, self-regulatory organizations and exchanges (NYFRB, FRB, SEC, CFTC, FINRA, NFA, NYSE, etc.,) that are applicable to the businesses of a foreign banking organization’s businesses, processes and operations (investment banking, corporate banking, markets activities, bank regulatory matters etc.,).
• Ability to review regulatory obligations in relation to policies and procedures and knowledge of the client’s controls maintenance systems.
• Ability to navigate effectively in transformational environments.
• FINRA Registrations Required:  Not required, but Securities licenses a plus (e.g., SIE, Series 3, 4, 7, 9/10, 24)

Our client is a leading financial Industry and we are currently interviewing to fill this and other similar contract positions. If you are interested in this position, please apply online for immediate consideration.

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