Company Profile Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Company can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses. Department Overview The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. Operations, Finance, and Technology & Data Compliance The Compliance Operations, Finance, and Technology & Data Team provides Compliance coverage and guidance across the core functions of Company’s Operations and Finance Divisions. Primary Responsibilities This Vice President role will report to the Executive Director leading coverage of Outsourcing Compliance as a member of the Firm’s Compliance Group covering infrastructure. Coverage includes:   • Provide outsourcing regulatory guidance to businesses, including regarding the compliance-related portions of outsourcing clearance forms and supervisory documentation   • Assist in coordinating global review and clearance by Compliance of outsourcing engagements   • Assist in maintaining and updating Compliance guidance relating to Outsourcing   • Provide training regarding outsourcing policies, regulatory requirements and required internal Compliance reviews   • Assist in building out Compliance coverage of outsourcing, including risk-based Compliance monitoring, testing and KRI reporting   • Research regulations applicable to an outsourced function for monitoring or testing by Outsourcing Compliance   • Cover outsourcing and third party vendor matters that arise in regulatory exams and inquiries   • Interact with and provide guidance to other control functions, including the Outsourcing Project Management Office, Operational Risk Division, and Internal Audit   • Keep abreast of regulatory and industry developments Qualifications Skills required (essential)   • 5-10 years’ experience in broker-dealer or banking compliance or similar control function   • Outsourcing experience is a plus   • Excellent oral and written communication skills   • Superior organizational skills and ability to prioritize, multi-task and execute   • Track record in building strong interpersonal relationships and teamwork   • Bachelor’s degree or higher Skills Required   • 5-10 years’ experience in broker-dealer or banking compliance or similar control function   • Outsourcing experience is a plus   • Excellent oral and written communication skills   • Superior organizational skills and ability to prioritize, multi-task and execute   • Track record in building strong interpersonal relationships and teamwork   • Bachelor’s degree or higher