Senior Compliance Specialist

Job Detail

About The Job:

Role:

Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Provide compliance risk expertise
Consult for projects and initiatives with moderate risk for a business line

Desired Qualification:

Handle the day to day control room activities and support the follow the sun coverage model;
Maintain the Bank’s Watch List and Restricted List and liaise with the front line to obtain the deal updates;
Review and facilitating the barrier crossing requests;
Carry out review and investigation of potential violations of Control Room and personal investment related policies and procedures and work closely with Trade Surveillance for escalated cases;
Manage the violation process including issuance of violation notice, escalation and maintain records on the violation for APAC Control Room;
Support the development, rollout and administration of Control Room and personal account of related policies and procedures