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Senior Laws, Rules & Regulations Specialist covering Global Banking and Global Markets

Charlotte, North Carolina;

Job Description:

Dynamic team looking to strengthen our risk mitigation efforts.  Looking for that unique person to:  
•  Serve as Subject Matter Expert (SME) with detailed knowledge and expertise of  the Laws Rules and Regulations (LRRs) governing GBAM and Private Bank marketing activities (Globally).  As such, this candidate would be able to provide advice and guidance in a very complex space.   
•  As Laws, rules and regs change, this candidate will serve as the subject matter expert and design and help implement process adjustments and training to the team.  
•  Serve as a liaison with Global Compliance and Supervision teams to develop and gain accountability of the CMO global and local review matrices
•  Help identify emerging risks and ways to mitigate them

Qualifications/Desired Skills:

• Knowledge and expertise on Laws Rules and Regs for the Global Banking and Global Markets businesses.  Expertise with Ultra High Net work space a plus.   
• A minimum of 7-10 years’ experience in a legal, compliance or regulatory setting 
• Ability to meet with senior level executives to debate and discuss risks
• Ability to manage execution of training and process changes 
• Ability to engage and communication at with different levels of sophistication and detail based on the audience
• Ability to manage multiple projects with competing deadlines; ability to function independently and make decisions for yourself and others; excellent organizational skills.
• Strong relationship-building skills with partners, able to bridge differences and come to a joint conclusion and plan  
• Understand importance of managing risk across functions and market deliverables, including familiarity with compliance process, legal reviews and other regulatory requirements.

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Dynamic team looking to strengthen our risk mitigation efforts.  Looking for that unique person to:  
•  Serve as Subject Matter Expert (SME) with detailed knowledge and expertise of  the Laws Rules and Regulations (LRRs) governing GBAM and Private Bank marketing activities (Globally).  As such, this candidate would be able to provide advice and guidance in a very complex space.   
•  As Laws, rules and regs change, this candidate will serve as the subject matter expert and design and help implement process adjustments and training to the team.  
•  Serve as a liaison with Global Compliance and Supervision teams to develop and gain accountability of the CMO global and local review matrices
•  Help identify emerging risks and ways to mitigate them

Qualifications/Desired Skills:

• Knowledge and expertise on Laws Rules and Regs for the Global Banking and Global Markets businesses.  Expertise with Ultra High Net work space a plus.   
• A minimum of 7-10 years’ experience in a legal, compliance or regulatory setting 
• Ability to meet with senior level executives to debate and discuss risks
• Ability to manage execution of training and process changes 
• Ability to engage and communication at with different levels of sophistication and detail based on the audience
• Ability to manage multiple projects with competing deadlines; ability to function independently and make decisions for yourself and others; excellent organizational skills.
• Strong relationship-building skills with partners, able to bridge differences and come to a joint conclusion and plan  
• Understand importance of managing risk across functions and market deliverables, including familiarity with compliance process, legal reviews and other regulatory requirements.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21065787

Band: H4

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Holly Engelhardt

Referral Bonus:

0