This job has expired, please see additional jobs below
Compliance Communication Projects, E-Communication Surveillance, Associate/Vice President
Finance & Investment Industry Company
New York, NY, United States
Job Details - this job has expired, please see similar jobs below
MORE ABOUT THIS JOB
GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
The Communications Compliance Project Team is responsible for leading strategic initiatives to improve the E-Comm Surveillance infrastructure and delivering new products and platforms to the division. The projects team's success is critical to the success of E-Communications Compliance and its ability to continually support the rapidly changing business needs. The projects team works in a fast moving environment and the project managers are expected to learn quickly, to efficiently manage time and priorities, to be able to effectively navigate the organization, to drive change and ultimately bring projects to completion within budget and with minimal risk to the organization.
We are looking for a highly motivated individual with excellent organizational and communication skills. This person needs to multi-task well and be able to adapt quickly to an ever-changing list of demands. Increased skills in project management, time management, and the ability to quickly adapt and change to new roles and opportunities. The role will require extensive coordination and interaction with various Compliance teams, Technology, Legal, and other professionals across the firm as well as some external exposure to various clients and vendors.
Required Skills:
• Detailed understanding of internal controls design, implementation and testing
• Exposure to quantitative risk management and high level of comfort working with large data sets
• Demonstrated project management experience with proven ability to build rapport with stakeholders and appropriately exercise judgment in a collaborative, consensus-driven environment
• Expertise in statistics and quantitative analysis Principal Responsibilities
• Design, develop, test, and implement e-communications surveillances
• Create efficiencies with existing surveillance infrastructure
• Assemble stakeholders, document project plans and design specifications, and develop test plans
• Coordinate required documentation review and senior manager sign off at key milestones
• Identify, document, and resolve potential regulatory/compliance issues
• Analyze and creatively present data and develop quantitative solutions
• Utilize the e-communications surveillance systems to review messages for regulatory compliance
• Think strategically about the execution of e-communication surveillance systems in order to uplift and upkeep on a continual basis
• Create reporting metrics and summaries on issues identified
• Develop and implement project strategies to meet aggressive deadlines, while maintaining high standards
• Present recommendations to many audiences through strong written and verbal communications
RESPONSIBILITIES AND QUALIFICATIONS
• Bachelor's degree required
• Basic understanding of the fundamentals of the financial industry
• Interest in financial crime and financial regulation
• Solutions oriented
• MS Office proficiency
• 3-5 years of relevant experience
• Interest in using technology to strategically manage risk
• Basic coding knowledge, or a background in computer science, is a plus, but not required
• Excellent project management skills
• Demonstrated skills in negotiation, quantitative and qualitative analysis, problem solving and execution
• Natural curiosity and desire to ask questions, while thinking critically about existing processes
• Interest in social media and new mediums of communication
• Ability to perform a lead role in the coordination of projects across various divisions of the Firm
ABOUT Company
The Company Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
© The Company Group, Inc., 2017. All rights reserved
Company is an equal employment/affirmative action employer Female/Minority/Disability/Vet.