Compliance Assurance Test Plan Governance Lead

Job Description

WHAT IS THE OPPORTUNITY?

The Compliance Plan Governance Lead is responsible for leading, coordinating and/or overseeing the development of Annual Compliance Plan activities and supporting the ongoing governance of plans to promote appropriate awareness by senior management.  In particular, this position will support the development of the Annual Compliance Assurance Plan to ensure appropriate risk-based coverage as well support change management protocols and processes.  In addition, this position will assist in gathering status of all Annual Plan activities to help support the overall reporting of progress against plan.  As part of the broader Compliance Practices Group, this position will also support cross functional engagement routines and participate in ad hoc initiatives related to the compliance program as needed. 

WHAT WILL YOU DO?

• Establishing consistent protocols for the development of various annual activities that comprise the overall Annual Compliance Plan
• Facilitating the development of the annual Compliance Test Plan
• Preparing, updating and maintaining the Compliance Assurance Universe and CUSO Compliance Assurance Coverage Map
• Assisting with the development Monitoring Program Inventory, Training Plan, strategic Annual Compliance Plan as needed
• Maintaining periodic reporting on CUSO Compliance Testing, Monitoring Program, Quality Assurance, strategic Annual Compliance Plan activities including progress to plan reporting
• Facilitating governance and change management for Compliance Assurance activities

WHAT DO YOU NEED TO SUCCEED?

 Must have:

• 7 - 10 years experience in the financial services industry in Compliance Testing, Internal Audit or at a financial institutions regulator
• Knowledge of OCC and FRNBY rules, regulations and expectations
• Ability to work with data(including data presentation, trending analysis, key risk indicators, and thresholds)
• Experience in change management and governance
• Excellent communication, influencing and presentation skills

Nice-to-have: 

• Knowledge of FINRA, SEC, CFTC, CFPB considered a plus
• Experience with operating in a highly matrixed environment
• Strong organizational skills with a high degree of attention to detail
• Knowledge of Tableau, Excel or other reporting applications

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• A world-class training program in financial services
• Flexible work/life balance options
• Opportunities to do challenging work

For New York/New Jersey & LA: The good-faith expected salary range for the above position is $110,000 - $190,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

For Dallas/Minneapolis/Charlotte: The good-faith expected salary range for the above position is $85,000 - $150,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

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