Ethics & Conduct Risk Senior Officer

Responsible

• Assist in the development and implementation of policies, procedures, and technical solutions aligned to assigned Ethics & Conduct Risk programs; support methodology requirements to help ensure risks are identified consistently and quantifiably across the enterprise.
• Execute oversight and monitoring routines in alignment with applicable standards; review process documentation to evaluate adequacy and effectiveness and compile findings for leadership.
• Provide analytical and operational support for working group and committee reporting packages, senior leadership presentations, and enterprise-wide ethical communications and training materials.
• Analyze existing policies, procedures, and controls to identify gaps; assist in implementing compliance initiatives to address deficiencies.
• Compile and prepare Risk Committee materials, including program effectiveness evaluations, risk trends, and status updates on previously identified issues.
• Support communication with management and regulators regarding Ethics and Conduct risk management activities and regulatory examinations.
• Auxiliary in implementing strategies and methods related to the compliance risk management framework, including reviews, assessments, key risk indicators, and mitigation strategies.
• Monitor and analyze data and LOB reporting, identifying trends or areas of risk exposure and preparing aggregated reporting for leadership.
• Collaborate with business units and stakeholders to support remediation efforts from internal reviews, audits, and regulatory examinations, ensuring timely and effective resolution.

Qualifications

• Bachelor’s degree in business, Economics, Finance, Accounting, or related field, or an equivalent combination of education and experience.
• Eight (8) years of financial industry experience, including extensive compliance, ethics, conduct risk management, and leadership experience within large, complex organizations.
• Five (5) years of direct experience is risk, compliance, and/or ethics.
• Demonstrated knowledge of laws, regulations, and regulatory expectations, with demonstrated ability to maintain strong relationships with regulators and manage regulatory matters effectively.
• Strong communication and interpersonal skills, with the ability to consult and influence senior and executive leadership across a matrixed organization.
• Analytical, organizational, and time management skills, with high attention to detail and accuracy.
• Solid understanding of risk management processes and risk analysis, with a sharp focus on emerging risks and continuous improvement.