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Subject: Compliance Risk Assessment – Investment Bank New York, NY

Gerald Elliott posted a job: Compliance Risk Assessment – Investment Bank New York, NY

"Our client, a top-tier investment bank, seeks a Compliance Risk Assessment Supervisor. Candidate will join a team responsible for: - Coordinating the annual Supervisory and Internal Control and Compliance Risk Assessment Methodology processes - Participation in and support for the implementation of the new Compliance Management system Responsibilities will include: * Coordination of the annual reviews * Work with designated business area Compliance Advisors to execute the review * Develop the annual review plan, conduct training, and track completion of the reviews * Collect enhancements and work with Compliance Advisors to refine as appropriate * Periodic management reporting on the status of the review and the enhancements * Work on configuring assessment tool for annual review * Work on planning assessment schedule, training, and execution of the Risk assessments * Collect mitigations and report them * Periodic management reporting on the status of mitigations * Preparation and/or review of annual training material and deliver or oversee training * Preparation of annual Risk Assessment reports * Participation and support for the implementation of Compliance Manager system in the US and potential participation in the global implementation of Compliance Manager Position Requirements: * Bachelor’s Degree (Finance or Economics preferred). MBA or JD is helpful. * Previous experience: * Minimum of five years of compliance, audit, and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices. * Participation or management of risk assessment processes and an understanding of risk principles. * Managing projects and producing management information / business management reports. * Investigative skills – inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal). * Strong organizational skills. * Strong technical and presentation development skills (e.g. Excel and PowerPoint) * Excellent communication and interpersonal skills in order to work with a diverse global group. To apply please submit your resume to Info@compliancesearch.com"

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