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Regulatory Interpretation Global Risk Specialist/Compliance & Operational Risk

New York, New York

Job Description:

  • The Compliance and Operational Risk Specialist/ Data Analyst will be part of the Technology Compliance and Operational Risk team and will focus on regulatory compliance issues relating to non-financial regulatory reporting across multiple lines of business (GBAM, Consumer, GWIM and Control Functions) in the United States and international jurisdictions. The Compliance and Operational Risk Specialist/ Data Analyst will be responsible for:

  • Supporting adherence to Compliance strategy, standards and processes, including quality control processes and metrics and reporting for non-financial regulatory reporting
  • Leverage and administer data tools to evaluate regulatory changes, legal entity changes, business changes and other trigger events for impact upon regulatory requirements, business requirements and reporting data
  • Advising business on regulatory reporting issues, escalation, self-disclosure to regulators, and report remediation and resubmission
  • Supporting implementation of business initiatives and rollout of operational risk tools
  • Supporting business and operations teams on remediating regulatory reporting gaps
  • Supporting technology teams with preparation of automated regulatory reporting quality assurance reviews and other reporting diagnostics
  • Working together with partners in the business, operations, technology, legal and compliance on new regulatory reporting implementation

    Key Selection Criteria

    The Regulatory Interpretation/ Data Analyst must have following skills and qualifications:

  • Possess 4+ years of experience as a data or business analyst preferably within the compliance or legal context, preferably with experience in regulatory reporting
  • Some exposure to regulatory interpretation for one or more of the following domains: Securities and Derivatives, Global Markets, and / or Global Banking
  • General experience working in a legal or compliance environment in institutional banking & markets, commercial or private banking or wealth management organizations is desired along with excellent understanding of banking & markets businesses, trading, products and instrument lifecycles
  • Ability to effectively manage day-to-day interactions and relationships with a diverse group of colleagues in the front office and control functions
  • Ability to work with data, generate metrics and presentation materials to colleagues and leadership on findings and observations
  • Excellent written and oral communication skills.  Ability to communicate complicated issues succinctly and pointedly, organized with exceptional clarity
  • Skilled in developing broad internal and external networks of stakeholders and collaborators, and capable of cultivating strong interpersonal relationships

    Ideal Personal Profile

  • A motivated individual who is passionate about regulatory compliance, regulatory analysis and interpretation and has demonstrated track record of high integrity, sound judgment, energy and enthusiasm
  • Ability to work in a fast paced environment to drive quality goals while meeting aggressive delivery deadlines
  • An individual with a demonstrated ability to influence others across organizational lines toward the achievement of collective goals
  • An individual who is resourceful, productive and self-motivated, and who seizes opportunities to innovate and improve process and performance

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

  • The Compliance and Operational Risk Specialist/ Data Analyst will be part of the Technology Compliance and Operational Risk team and will focus on regulatory compliance issues relating to non-financial regulatory reporting across multiple lines of business (GBAM, Consumer, GWIM and Control Functions) in the United States and international jurisdictions. The Compliance and Operational Risk Specialist/ Data Analyst will be responsible for:

  • Supporting adherence to Compliance strategy, standards and processes, including quality control processes and metrics and reporting for non-financial regulatory reporting
  • Leverage and administer data tools to evaluate regulatory changes, legal entity changes, business changes and other trigger events for impact upon regulatory requirements, business requirements and reporting data
  • Advising business on regulatory reporting issues, escalation, self-disclosure to regulators, and report remediation and resubmission
  • Supporting implementation of business initiatives and rollout of operational risk tools
  • Supporting business and operations teams on remediating regulatory reporting gaps
  • Supporting technology teams with preparation of automated regulatory reporting quality assurance reviews and other reporting diagnostics
  • Working together with partners in the business, operations, technology, legal and compliance on new regulatory reporting implementation

    Key Selection Criteria

    The Regulatory Interpretation/ Data Analyst must have following skills and qualifications:

  • Possess 4+ years of experience as a data or business analyst preferably within the compliance or legal context, preferably with experience in regulatory reporting
  • Some exposure to regulatory interpretation for one or more of the following domains: Securities and Derivatives, Global Markets, and / or Global Banking
  • General experience working in a legal or compliance environment in institutional banking & markets, commercial or private banking or wealth management organizations is desired along with excellent understanding of banking & markets businesses, trading, products and instrument lifecycles
  • Ability to effectively manage day-to-day interactions and relationships with a diverse group of colleagues in the front office and control functions
  • Ability to work with data, generate metrics and presentation materials to colleagues and leadership on findings and observations
  • Excellent written and oral communication skills.  Ability to communicate complicated issues succinctly and pointedly, organized with exceptional clarity
  • Skilled in developing broad internal and external networks of stakeholders and collaborators, and capable of cultivating strong interpersonal relationships

    Ideal Personal Profile

  • A motivated individual who is passionate about regulatory compliance, regulatory analysis and interpretation and has demonstrated track record of high integrity, sound judgment, energy and enthusiasm
  • Ability to work in a fast paced environment to drive quality goals while meeting aggressive delivery deadlines
  • An individual with a demonstrated ability to influence others across organizational lines toward the achievement of collective goals
  • An individual who is resourceful, productive and self-motivated, and who seizes opportunities to innovate and improve process and performance

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21011642

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

James Henry

Referral Bonus:

0

Street Address

Primary Location:
ONE BRYANT PARK, NY, New York, 10036