Compliance Risk Assessment Lead

Serve as Compliance lead for managing and facilitating the U.S. Compliance Risk Assessment, reporting to the U.S. Head of Compliance Programs.,Manage the Compliance Risk Assessment framework to ensure applicable regulatory compliance risks and internal controls are identified and assessed.,Assist the Head of Compliance programs with facilitating the Compliance Risk Assessment and manage the assessment process, ensuring timely and quality completion.,Provide subject matter expertise and leadership to Oversight Functions and other assessment participants, serving as a single point of contact for stakeholders on assessment methodology, guidance, and leading practices.,Support Oversight Functions and covered businesses with defining and logging regulatory issues and/or remedial action plans.,Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies, and potential points of challenge.,Drive program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team.,Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework.,Possess strong functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services.,Apply a risk management/internal control mindset to assess risk identification/mitigation.,Provide people management leadership by hiring, setting goals, developing staff, managing performance and compensation decisions, and promoting teamwork.,Oversee and lead a highly complex and diverse function for an area of significant risk, complexity, or scope.,Act as a strategic partner to the leadership team on the management of the assigned portfolio and related financials.,Facilitate key strategic discussions and provide thought leadership to executive audiences.,Set operational team direction and collaborate with others to execute on common goals.,Oversee a function of enterprise Compliance Program professionals providing oversight and control related advisory services.,Provide strategic direction on a broad and diverse range of complex Compliance program activities.,Develop Compliance enterprise-wide frameworks, policies, standards, and procedures.,Work with executive team, senior business management/partners to develop proactive strategies, tactics, policies, and programs.,Lead in managing and responding to periodic exams/audits and various regulatory bodies.,Participate in/lead enterprise-wide or Compliance-focused special projects.,Oversee research, development, and implementation of new processes, technologies, or operating models.,Lead the team to adhere to enterprise frameworks and methodologies.,Protect the interests of the organization by identifying and managing risks and promoting resolution of escalated issues.,Work closely with executive management team to support the development of CGO group's business plan.,Plan and execute on strategic activities, review and communicate results, and adjust tactics accordingly.,Provide mentorship to direct reports and minimize operational and regulatory risk.,Keep abreast of emerging issues, trends, and evolving regulatory requirements.,Contribute to the development of Compliance functional strategic priorities.,Develop annual and/or long-term plans for own area and influence broader plans.,Grow team expertise to align with Compliance/enterprise demand and direction.

Undergraduate degree or equivalent work experience,10+ years of experience in regulatory, compliance, and/or risk management,Experience conducting a Compliance Risk Assessment,Experience working with top tier banks in large scale, cross-functional regulatory remediation,Experience with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment and regulatory controls management,Experience with regulatory Issue Management, Compliance Monitoring & Testing and governance of Compliance documentation preferred,Strong knowledge of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses

Undergraduate Degree or equivalent work experience

Occasional Domestic Travel