Typical Day in Role:
• Works with key stakeholders, including the Center of Excellence teams, and regional Compliance teams to populate the mapping templates and upload the obligations to respective libraries.
• Works closely with the First Line of Defense (i.e., control owner) to map the appropriate controls to the impacted units.
• The incumbent achieves the above through identifying required information: a) in relevant compliance procedures and other documents, and/or b) through discussions with different key stakeholders, including Center of Excellence Compliance teams, regional compliance teams, Enterprise Compliance teams, technology support, and other impacted Business Line Compliance and/or Business Line Internal Control teams.
• Identify technical issues during the mapping and uploading exercise and resolve the issues with technical support team to ensure the required records are uploaded successfully in the system.
• Effectively and accurately populate information – though the activity owners are responsible for to provide the mapping information, the contractor will be assessed on how well and effective they populate and upload the mapping templates and complete the upload, and how they interact with the stakeholders; and help in disassociating existing mappings and remapping using templates
• Collaborate with various levels of stakeholders (various levels including senior, international) to ask the right questions to get the necessary information. The ability to summarize and articulate feedback from stakeholders in a succinct manner is required in this role.
• Help prepare materials (decks) for presentation to stakeholders
Candidate Requirements/Must Have Skills:
1) 3-5 years of experience in Compliance, preferably within the Capital Markets industry (in regulatory space preferred) – see additional notes for further info
2) 2+ years’ demonstrated experience in effectively communicating with and managing multiple and international stakeholders
3) Strong skills in Microsoft Suite – Excel, Word and Power Point
4) 2+ years of working experience with IBM Open Pages
1) Compliance or 1st line working experience in extra territorial regulations, specifically for Volcker and Dodd Frank Title VII.
2) Experience / background in project management
3) Previous experience with data mapping and processing
Soft Skills Required:
• Strong communication skills – written and verbal
• Excellent analytical, problem-solving and troubleshooting skills
• Ability to work independently and within a team
• Strong organizational, and interpersonal skills, including but not limited to prioritization, effective time management, and conflict management
• Self-motivated, results driven, and the ability to work with tight timelines: Need to relentlessly follow-up to ensure successful identification of in-scope activities to complete the task in time
• Ability to communicate with all levels of stakeholders
• Ability to resolve technical and system-related issues related to the mapping and uploading with technical support independently.
Bachelor's degree- in business, legal, or a related field