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Compliance and Operational Risk Program Oversight Executive

Charlotte, NC, United States

Job number: 18048782

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Job Description:

The Compliance Program Oversight Executive is responsible for the supervision of a team responsible for the development of quality control review strategy and the execution of quality control reviews. Under the supervision of the Compliance Program Oversight Executive, the Compliance Program Oversight team conducts end-to-end quality control reviews of the Compliance Risk Management (CRM) function to evaluate the execution of the Global Compliance Enterprise Policy requirements. The team is responsible for the integration of all elements of the Policy, span of coverage, completeness and quality of execution and the implementation of an adequate control environment, defined as follows:

• Identification of processes and related risks and controls.
• Determination of applicable regulatory requirements related to activities.
• Adoption of processes and controls to comply with applicable laws, rules and regulations and their impact on relevant processes.
• Implementation and active management of procedures and controls to reflect policy requirements.
• Measurement, monitoring and reporting on the effectiveness of the control environment.
• Oversight of the mitigation of risks and remediation control gaps.

Required candidate skills/qualifications:

  • Ability to decompose complex issues and drive timely decisions, knowing when to engage others for additional input, and when to act independently
  • Ability to think strategically 
  • Ability to partner with technology and business partners
  • Communication skills, especially at the executive level 

Posting Date: 10/08/2018

- United States

Travel: Yes, 5% of the time

Full / Part-time: Full time

Hours Per Week: 40

Shift: 1st shift

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