- Overseeing the development, implementation, and execution of the compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Assurance (CA) Plan.
- Managing the planning, execution, and reporting of compliance assurance reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CA Plan
- Managing a team or multiple teams of Compliance professionals. Responsible for hiring, compensation, performance appraisals, staff development, training, etc.
- Developing and executing a CA Pan to monitor for compliance with rules, laws, and regulations, and internal policies .
- Executing interactive programs of support and assurance, in accordance with CA requirements, that provide regulators and stakeholders' insight into compliance trends, themes, issues, and root causes.
- Managing and monitoring budgets for assigned CA projects.
- Serving as a manager for complex reviews, analysing report findings, and communicating findings to corresponding control/process owners.
- Developing CA Risk Assessments and CA Monthly and Quarterly Reporting Summaries.
- Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm
- 12-15+ years of experience in the Internal Audit, controls testing, risk management function at a large financial institution, or as financial regulatory examiner
- Preferred: Certified Public Accountant (CPA), Chartered Accountant (CA), Certified Management Accountant (CMA), Chartered Financial Analyst (CFA), Certified Internal Auditor (CIA), Chartered Alternative Investment Analyst (CAIA), Certified Risk Manager (CRM), Certified Information Systems Auditor (CISA), Certification in Risk Management Assurance (CRMA), Financial Risk Manager (FRM)
- Having expertise and working knowledge of Compliance laws, rules, regulations, and risks
- Demonstrate extensive abilities as a team leader, which includes creating a positive environment, monitoring workloads of the team, respecting the work-life quality of team members, providing candid and meaningful feedback in a timely manner, and keeping leadership informed of progress