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Lead Compliance Officer

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

Posted 17 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.

Candidates will be responsible for following the client's COVID-19 protocols. Please refer to your MATRIX representative for specifics.

About Us

At MATRIX, we expertly match talented professionals with job opportunities to elevate careers. Since 1983, we have placed thousands of professionals at innovative clients across every industry ranging from small startups to Fortune 50 companies. It’s why we’re consistently in the top 25 of all U.S. IT staffing firms and why our consultants rate us well above the industry average, earning us ClearlyRated's Best of Staffing awards year after year. People come to us for a job, and stay with us because of our top-notch consultant care.

MATRIX is and Equal Employment Opportunity employer including disability and veteran and provides reasonable accommodations for all qualified individuals.  Supporting medical or religious documentation will be required where applicable. If you are a qualified individual you may request a reasonable accommodation under the American Disability Act (ADA). If you are a person with a disability needing assistance applying, or at any point in the hiring process, please email us at MATRIX_HR@MatrixRes.com. To ensure a quick response to your request, please use the words “Accommodation request” as the subject line of your email.

For hourly W2 contract roles MATRIX offers a highly competitive benefit package including Medical, Dental, Vision, Life, Disability, HSA, and 401(k) with pre and post-tax options.  Please see MatrixRes.com/Benefits for more information.

For direct hire placement with our clients, benefits would be offered in accordance with that particular client’s offerings. This may include PTO, Medical, Dental, Vision, 401K and other pre and post-tax options.