CF&O Compliance, Americas – Engineering Coverage, Vice President, Dallas

Global Compliance   Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
BUSINESS UNIT AND ROLE OVERVIEW

CF&O Compliance provides compliance coverage to the Control, Finance and Operating (CF&O) Divisions, which include Operations, Engineering, Controllers, Corporate Planning & Management, Corporate Treasury, Corporate and Workplace Solutions, Executive Office,  Risk, Tax and Human Capital Management divisions. This includes:

• Conducting risk identification, measurement and assessment
• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits and inquiries
• Performing surveillance and investigations of business activities of the above-referenced CF&O divisions
• Testing the effectiveness of controls
• Writing policies and procedures
• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative

RESPONSIBILITIES AND QUALIFICATIONS

ROLE AND RESPONSIBILITIES

As part of the Americas CF&O Compliance team, you will provide compliance support and coverage for the firm’s Engineering division, with a particular focus on governance and controls related to the firm’s emerging use of Artificial Intelligence. In this role, you will have the opportunity to collaborate with various teams and divisions on the integration of artificial intelligence (AI) within the Firm. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. To fulfill this role and responsibilities, you will need to:

• Help co-ordinate and participate in the delivery of the firm’s response to emerging regulatory requirements related to the adoption of AI
• Assist in the ongoing development of AI governance as it pertains to the firm’s internal AI strategy and framework
• Actively participate in key steering groups and control forums related to AI to ensure governance processes are integrated into the broader Compliance framework
• Assist in developing responses to regulatory and client inquiries in relation to the firm’s use of AI
• More broadly, advise, challenge, and influence the Engineering Division and business divisions in relation to regulations, policies, and reputational risk
• Brief senior leadership on risks identified and ensure stakeholder investment 
• Analyze and conduct ongoing reviews of technology regulations, agency guidance, trends and enforcement actions to assess the impact to the firm and identify potential gaps
• Partner with the impacted groups to ensure the business is able to support new requirements
• Coordinate with counterparts in other jurisdictions to ensure the firm is meeting technology related regulatory requirements globally
• As needed, support development and analysis of technology-related policies, standards and processes to ensure compliance with applicable regulations and requirements
• Recommend compliance testing or forensic work to be performed 
• Develop and deliver communications and training to the Engineering Division and other CF&O teams
• Coordinate with the broader CF&O Compliance team on specific initiatives and projects

QUALIFICATIONS AND SKILLS