Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessments of the firm's compliance risks; performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Key Activities include:

• Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Testing (CT) Plan.
• Participating in the planning, executing, and reporting of compliance testing 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 CT Plan.
• Analyzing and documenting report findings, and having preliminary discussions with corresponding control/process owners.
• Assisting with Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Testing Methodologies and Standards for testing, monitoring, and reporting.
• Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities.
• Developing effective relationships within CT function and with other stakeholders including Business process owners and Internal Audit function.
• Identifying industry best practices and share insight with the CT teams on a regular basis.
• Informing CT management of significant compliance matters that require their attention or action.
• Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding the business, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgement regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• 6-10 years of experience in an audit, compliance testing or risk roles
• Knowledge of Compliance laws, rules, regulations, risks and typologies, financial products including credit products and financing and securitization
• Demonstrated knowledge in Investment Banking, Fixed Income Trading & Sales and Debt Capital Markets
• Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
• Knowledge and extensive experience with auditing principles including review planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
• Understanding of rules, laws, and regulations, and specific regulatory requirements
• Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
• Effectiveness in working within a large scale and complex matrix organization is essential
• Effective negotiation skills, a proactive and "no surprises" approach in communicating issues, and strength in sustaining independent views
• Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
• Must be a self-starter, flexible, innovative and adaptive
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Ability to both work collaboratively and independently; ability to navigate a complex organization
• Advanced analytical skills
• Ability to both work independently and collaborate with team members
• Excellent project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)

Education:

• Bachelor's/University degree, Master's degree preferred
• 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 a plus