Compliance, Enterprise Compliance Office- Risk Assessments, Associate, NY

Enterprise Compliance Office – Risk Management is a team within Global Compliance that is responsible for implementing and maintaining the firm's integrated regulatory compliance program, which includes risk assessments, regulatory change management, policies, and training.

 RESPONSIBILITIES AND QUALIFICATIONS 

Enterprise Compliance Office – Risk Management is at the forefront of ensuring our firm's compliance program is best in class, factoring in the latest regulatory guidance and industry standards. We are looking for a team member who can help drive our mission forward and collaborate across business units within Compliance, Compliance Engineering, Risk, and the firm.  We are looking for someone who is equal part visionary and executor. At times, the role will require you to navigate and problem solve with multiple teams and stakeholders bearing in mind timelines and a senior audience.

Principal Responsibilities:

• Contribute to strategy for enhancing and executing the Compliance Division’s Risk and Control Self-Assessment (RCSA)
• Oversee Compliance’s involvement in the RCSA, including risk and control inventory management, risk taxonomy management, training, status tracking and communications
• Facilitate the overall execution of the assessments by meeting directly with Divisional Compliance risk and control assessors
• Liaise with OpRisk on design and methodology decisions
• Analyze trends in risk assessment results, and develop reporting and dashboards, including issue management, for Compliance Senior Management
• Partner with Compliance Engineering on UAT and system enhancements
• Support responses to regulatory and internal reviews and audits

Qualifications:

• Bachelor's degree required
• Experience with risk and control self-assessments and/or compliance risk assessments required
• Knowledge of issue management preferred
• Knowledge of non-financial risk management frameworks preferred
• Minimum of 3-4 years’ experience in compliance or risk management in the financial services industry or consulting industry 
• Ability to independently lead meetings
• Strong stakeholder and project management skills
• Detail-oriented and able to produce quality work product, even when working under tight timeframes
• MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred
• Strong reporting and analytical skills and comfortable with large data sets
• Comfortable using AI tooling to support analytical reviews