Regulatory Compliance Coordinator jobs in Bennington, VT

Currently, we are looking for talented resources for one of our listed clients. If interested please reply to me with your updated resume or feel free to reach out to me for more details at

Title: Regulatory Quality Review Specialist

Location: NYC - 388 Greenwich Street

Duration: 8 Months Potential project extension or direct hire conversion

Worksite Location: Hybrid (Remote and Onsite 3 days a week)



General Responsibilities:

• Partner with issue owners and teams to provide guidance, challenge, and quality assurance on the approach to pass IA and Regulatory scrutiny.
• Facilitate execution of the Challenge and Quality Review Framework (1st LoD self-assessment), through engagement and credible challenge with senior stakeholders, 2nd and 3rd LoD
• Drive compliance with the QC Framework with Accountable Executives and Issue Owners
• Provide guidance to issue owners on how to best represent a reduction of risk and issue remediation that will pass the scrutiny of IA validation and regulatory review
• Provide an independent initial assessment and challenge on the remediation and evidence artifacts
• Work with stakeholders to drive challenges to ensure strategic deliveries meet the letter and spirit of management, regulator, Compliance or IA concerns
• Build strong relationships with key stakeholders including issue owners, governance/policy owners, and program leads for intersecting work efforts
• Execute against multiple competing priorities simultaneously
• Ensure risks and issues are raised promptly and in accordance with Client policy
• Ensure all programs understand regulatory feedback and expectations, underlying concerns, and their root causes to make sure their commitments are complete
• Provide review and challenge of each program's defined scope, assessed gap, target state, and success criteria to ensure it fully addresses the letter and the spirit of the regulatory feedback, broader supervisory expectations, and underlying issues and root causes
• Identify related and interdependent program elements and provide feedback and input to ensure consistency of review and challenge implementation according to developed guidelines
• Review policies and risk frameworks
• Governance and project management
• Be proactive and self-motivated in driving quality and timely reviews/assessments end-to-end.

Qualifications:

• Bachelor's degree; major in Finance, Accounting, Economics or Business Administration preferred
• 12 years of progressive experience in the financial services industry; experience in Risk Management, Internal Audit; Knowledge and understanding of regulatory and risk management in the financial services industry.
• Experience working for a Regulator is highly desirable.
• A critical thinker who seeks to understand the business and its control environment.
• Recent experience in managing or leading audits and/or quality assurance reviews for a banking institution is preferred.
• Proven leadership and project management skills to drive alignment across stakeholder groups to review and challenge repeatable end-to-end risk management solutions and controls aligned with policies, frameworks and processes.
• Deep understanding of risk framework, corporate/business policies, and programs to translate into plans for the business, function and/or risk type.
• Demonstrated ability to understand effective and efficient risk controls and gaps within large organizations.
• Develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate team's value proposition.
• Ability to work as a member of a team where success is defined not only on individual performance but also that of the entire team.
• Excellent communication skills; ability to articulate deadlines and deliverables clearly to senior members of organization
• Experience advising and collaborating with cross-functional internal & external stakeholders.
• Lead through change with candor and optimism
• Effective negotiation skills

Education:

• Bachelor's/University degree, Master's degree preferred.

Technical Skills (Highlighted are "must-haves"):

• Data Governance
• Data Quality Management
• Data Lineage & Tracing
• Risk Data Testing
• Data Architecture
• Data Quality Strategy
• Risk Management Skills

Additional Information:

• Around Data Governance, architecture, lineage, and tracking.
• Read their data operating model and ECTO guidelines, should be able to audit.
• Current team is Ex-Audit or Ex-regulatory background. Someone who has done data data-related audit would be ideal.
• Certification: BCBS 239, CISA certification preferred
• Around providing quality control on some milestones
• Strong knowledge of the laws and regulations as they relate to a financial institution
• Should be able to assess the scope, data lineage, data architecture
• Minimum of 15 years of experience is acceptable

About us:

At our organization, we take our mission and values to heart! We are on a mission to offer more and better jobs all over the world! Our goal is to care for you while you care for our clients and get you paid the highest pay possible. All our associates working with us are expected to embrace our RACE values: R - Results Matter, A- Approachable, C - Care, and E - Emergency i.e. work with a sense of urgency.

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