AVP Compliance Risk Review


Company:: The Forum Group
Location:: New York City, NY
Job Type:: Full Time
Category:: Accounting

Yrs of Exp:: 2+ to 5 years
Posted:: 2/12/2013

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Job Description

Main Function

Opportunity to join the Global Compliance Risk Review team ("CRR") supporting the Compliance Risk Review Program for the Americas. The CRR program is designed to independently assess and report on areas of potential reputation or regulatory risk by verifying business understanding and testing compliance with relevant regulations and policies. In the U.S, the CRR team will be primarily responsible for evaluating compliance with Firm policies and procedures in accordance with relevant regulatory requirements including, without limitation, NYSE Rules 342 and 343, NASD Rules 3010(c) and 3012, as well as U.S. banking laws.

Main Duties

Plan for and manage compliance reviews according to the established review schedule and ad hoc regulatory / business commitments;
Planning for review scope, budget and testing approach
Performing on-site compliance reviews to:
Satisfy standards for delivering high quality value added compliance risk reviews
Provide guidance on compliance and supervisory findings related to review areas
Anticipate and provide solutions to complex issues
Maintain a broad knowledge of the Firm's business and regulatory framework in which it operates
Maintain relationships with business compliance officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm

Person Requirements

Basic Qualifications:

Education:

4 year Undergraduate Degree

Experience:

4+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank including experience with investment banking products, experience with Federal banking rules and regulations a plus

Preferred Qualifications:

Knowledge of FINRA, SEC and other regulatory rules and regulations
Ability to analyze and interpret regulatory rules and their impact on the business
Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities
Enforcement experience with FINRA, SEC or other regulatory agency a plus
Industry affiliations
Energetic, detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to comments and questions regarding review work
Demonstrated analytical skills
Demonstrated written and oral communication skills
Demonstrated interpersonal skills
Constructive and positive approach to challenges
Self motivated, proactive and able to manage multiple priorities
Ability to work independently and in a team environment
Ability to represent and enforce compliance while considering the needs of the business
Able to support point of view when challenged

Ability to anticipate and provide solutions to complex problems

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