Consumer & Community Banking (CCB) Compliance plays a critical role in the successful execution of the firm’s Compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by working closely with the business, legal, risk, and audit functions to provide expertise on regulatory compliance matters. The Compliance function also develops and maintains practices to identify, measure, manage, and control compliance risks and advises, monitors and tests the adequacy of the firm’s compliance control environment.
CCB Controls & Practices partners with Global Compliance and Global Oversight & Controls to design and implement Core compliance practices to be applied across CCB Compliance. Such practices include enhancing and implementing a consistent approach and framework for Governance & Oversight, Policies & Procedures, Training & Awareness, Monitoring & Testing, Risk Assessment and Reporting, Issue Management and Risk and Control Self Assessment (RCSA) activities. The team, in partnership with Chief Compliance Officers and their teams will drive the design and implementation of CCB’s compliance practices and provide oversight for effective execution.
The CCB Compliance Team successfully executes the firm’s compliance mission covering the CCB businesses, including: Mortgage Banking, Consumer Banking, Wealth Management, Business Banking, Auto Finance, Consumer Credit Cards, Commercial Cards and Electronic Payment Solutions. The Compliance Associate role is highly visible and can have significant impact on Compliance coverage across all the businesses within the Consumer & Community Banking area. It offers a unique opportunity to partner with Compliance professionals with various responsibilities and at various levels (from the testers to the Chief Compliance Officers).
The Compliance Associate will work closely with the CCB Compliance Regulatory Change Management (RCM) Team which is responsible for establishing a baseline standard that each LOB/Regional Compliance team must adhere to in documenting and reporting on new or changed regulatory requirements.
The Compliance Associate will work closely with the Global Compliance team to lead the ongoing efforts of mapping and organizing the Compliance-Relevant Legal Obligations associated with CCB.
-- Engage in CCB and Firmwide working groups to establish and build an ongoing Regulatory Change Management process
- Drive all aspects of the RCM process (plan, build and operate) across CCB to develop and maintain an evergreen process
- Partner with Oversight and Control, Compliance and Legal to capture and implement regulatory events impacting CCB Compliance;
- Develop and maintain subject matter expertise on key CCB business systems and data
- Execute special projects (e.g., Obligation/risk mapping, ad-hoc and complex data analysis queries) as assigned by management.
- Manage deliverables and timescales and participate in multiple project workstreams concurrently
- Build and maintain key relationships across CCB Compliance, promoting a culture of engagement and connectivity.
- Develop presentations for senior stakeholders based on interpretation of data metrics, evaluations of trends and make recommendations based on findings;
- Minimum 3 years experience in Compliance or Risk, preferably within the financial services industry
- Highly motivated, strategic thinking individual who is results-oriented and able to work independently under minimal supervision with an attention to detail and an ability to learn new technologies quickly
- Ability to manage numerous projects simultaneously and handle confidential and sensitive information in a professional manner in a fast paced deadline-driven environment
- Proven ability to build strong partnerships with colleagues, be flexible and think strategically
- Excellent verbal and written communication, relationship management and interpersonal skills
- Self-starter, capable of working under minimum supervision
- Results oriented team player
- Strong problem solving ability
- Strong interpersonal and verbal/written communication skills
- Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
- Experience in Financial Industry with a mix of business and consumer products/portfolios and applicable key federal and state regulations is preferred
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