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Lead Compliance Officer

  • Location: New York, 10017
  • Salary: 80.86
  • Job Type:Contract

Posted 19 days ago

Work with the brightest minds at one of the largest financial institutions in the world. This is a contract opportunity that includes a competitive benefit package!

Our client has been around for over 150 years and is continuously innovating in today's digital age. If you want to work for a company that is not only a household name, but also truly cares about satisfying customers' financial needs and helping people succeed financially, apply today.

Position: Lead Compliance Officer
Location: NEW YORK, New York, 10017
Term: 5 months

Day-to-Day Responsibilities:

  • Support the initiative to develop, implement and maintain the Enterprise Compliance Operations (“ECO”) supervisory oversight processes in order to mitigate compliance risk related to the team’s operational activities which include performing, monitoring, and enforcing information barrier processes/key controls, monitoring and reporting large shareholdings/certain transaction reporting as required by regulation and performing employee compliance related key processes and controls associated with personal account trading, outside business activities and private securities transactions, G&E (Gifts and Entertainment) pre-clearance, Lobbyist management, and registration/licensing.
  • Supervisory oversight processes allow for ECO management to review for the timeliness and accuracy of the performance of ECO controls and key processes. This work is tied to a high-rated self-identified SHRP issue.
  • Support the initiative to develop, implement and maintain the Enterprise Compliance Operations (“ECO”) regulatory change process to assess the impact of regulatory change; implement action plans within the ECO to address regulatory change; and/or providing compliance oversight to the lines of business/functions that the ECO supports regarding regulatory change. This work is tied to a moderate rated self-identified SHRP issue.
  • Provide oversight and monitoring of business group risk based compliance programs.
  • Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines.
  • Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise.
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
  • Report findings and make recommendations to management and appropriate committees.
  • Identify and recommend opportunities for process improvement and risk control development.
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.
  • Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
  • Make decisions and resolve issues to meet business objectives.
  • Interpret policies, procedures, and compliance requirements.
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
  • Work with complex business units, rules and regulations on moderate to high risk compliance matters.
  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics.


Is this a good fit? (Requirements):

  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.