Compliance Policy and Controls Lead

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Non-disclosed
  • 14 Nov 17 2017-11-14

Lead the implementation of the global Compliance Policy and Procedures, and Control Framework for the region.

Essential Duties and Responsibilities:

Policy and Control Framework

  • Act as Policy Coordinator for the North America Region, which includes being the central point of contact for the global and local policy development and revision
  • Drive the process for getting the alignment of local policies and procedures with the respective global policy owners and ensure the timely escalation and resolution of any identified gaps
  • Manage the regional compliance policy refresh process
  • Support and strengthen the  compliance control framework through the linkage to the local regulatory requirements, policies and procedures, and controls
  • Liaise with various departments/business areas of the bank to develop information necessary to enhance compliance risk management strategies, including the aggregation of control test results to provide a holistic picture for the region
  • Act as an SME on compliance control identification and validation
  • Drive the local control self-assessment process, including the aggregation of the supporting documentation

 

Experience /Qualifications/Education:

  • BA / BS in a finance/legal/audit related discipline;
  • Minimum 5-7 years of solid working experience in Financial Services industry, Compliance or professional practice.
  • Strong written and oral communication skills;
  • Ability to work independently as well as within a team environment;
  • Excellent and effective communication skills – an ability to communicate complex issues within and across business areas of Commerzbank and to external parties at all levels
  • Broad knowledge of US compliance regulations, including financial crime
  • Ability to multi task and prioritize matters of importance
  • Highly motivated and driven to succeed in a challenging environment
  • Ability to manage and facilitate relationships, at all levels, with other business areas within and outside the Compliance function

Disclaimer: 

The above statements are intended to describe the general nature and level of work being performed by people assigned to this position.  This document is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required by the incumbents.   Job responsibilities are subject to change, with or without notice.  All employees may be required to perform duties outside of their normal responsibilities at any time at the Firm’s total discretion.  

This document does not constitute a contract of employment with you of any kind, express or implied for any duration, or with respect to any of its stated or omitted terms.  As described in the Firm’s employee handbook, the Firm reserves the right to terminate your employment with or without cause, notice or reason at any time at its sole discretion.