Avp - Compliance Business Control

**Responsibilities**:

- Participates from inception through implementation, in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
- Utilizes Issue Management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
- May support any area of the business (organizationally, regionally or product-wise) from an issue/project perspective; regular engagement with Senior Business Level Officers, Legal, Risk, and Compliance regarding complex matters.
- Initiates and develops relationships with others throughout the business unit and the company in order to identify and understand business needs
- Implement solutions to improve effectiveness and results
- Ensure a culture of accountability, integrity and respect
- Works issues/projects as assigned to support improvements
- Identify and analyze escalated problems and provide guidance for resolution
- Negotiate solutions and acts as a liaison with internal and external clients
- Monitor, research and evaluate technological advances in the industry to identify appropriate alternatives for enhancing current department operations
- Evaluate cost/benefits, make recommendations, develop and oversee implementation plans
- Provides judgment based on analysis of factual information in complicated and unique situations
- Directly impacts the area through shared responsibility for delivery of end results
- Implement and develop controls to prevent risk within specialized business
- Analyzes and identifies risk and performs analytical reporting
- Acts as a consultant to the businesses regarding processes & controls
- Drives corrective actions
- Provides support to business activity owners and Third Party Risk and Control functions
- Coordinates and assists with onsite reviews
- Completion of compliance documentation and on boarding activities relevant to compliance due diligence.
- Has the ability to operate with a limited level of direct supervision.
- Can exercise independence of judgement and autonomy.
- Acts as SME to senior stakeholders and /or other team members.

Qualifications:

- 5-8 years of control and/or project experience
- High attention to detail and quality
- Demonstrated analytical and problem-solving skills.
- Effective planning and organizational skills
- Proficient in Microsoft Office with an emphasis on MS Excel
- Consistently demonstrates clear and concise written and verbal communication skills
- Proven ability to make sound business decisions
- Experience in creating and implementing processes that result in improved business performance
- Ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view
- Required Licensing/Registration: Series 7, Series 9, Series 10, Series 24,

**Education**:

- Bachelor’s/University degree or equivalent experienceJob Family Group:
Compliance
- **Job Family**:
Business Control
- Time Type:
Full time
- Most Relevant Skills

Business Acumen, Credible Challenge, Laws and Regulations, Management Reporting, Policy and Procedure, Program Management, Referral and Escalation, Risk Controls and Monitors, Risk Identification and Assessment, Risk Remediation.
- Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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