Compliance Specialist (III)

Responsibilities

• Manage and/or plan requirements with the team to drive projects and/or processes through the entire project lifecycle by driving outcomes.
• Own regularly recurring report validation and analyze metrics to identify trends and diagnose the effectiveness of compliance programs.
• Provide intermediate general program management support on compliance issues and drive projects through the entire project lifecycle by driving outcomes.
• Drive the delivery of actionable data analysis through findings and recommendations and present them verbally and in writing to drive decisions.
• Own identification of improvements in basic compliance policies/processes and develop a plan of action to identify the improvements.
• Cookordination risk assessments to identify key risks and prioritize program efforts for the compliance function and areas of focus across the compliance ecosystem.
• Drive the development of in-person compliance training and communication strategy across multiple teams and possibly multiple clients, ensuring compliance programs are up to company-wide standards, and compliance training is delivered to and completed by all relevant employees.
• Drive the execution of a controls framework.
• Work cross-functionally to translate our obligations across legal, regulatory, and self-regulatory domains as well as compliance commitments established through our internal policies and standards into controls and business processes/requirements.

Qualifications

• Proficiency in risk assessments & control framework
• Presentation skills
• Stakeholder management
• New program and process development
• Project management
• Compliance and regulatory data analysis
• Knowledge of evolving regulatory and compliance standards, and best practices