Compliance Manager - Technology Optimization

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 18 Sep 17

The Core Compliance Manager is responsible for providing support to the Co-Heads of Core Compliance relating to key Core Compliance processes, projects and functions. The primary focus of the role will be related to providing support and analysis for Compliance-related technology projects. The role will also include involvement in various projects and initiatives, preparation of Compliance senior management reporting, designing and implementing enhancements to Core Compliance functions, collection and analysis of data relating to the Core Compliance Program and assisting other members of the Core Compliance team as needed

Key responsibilities include:  
• Serve as Business Analyst for Compliance technology projects and initiatives.
o Describe business needs and potential solutions in terms that both business and technical teams can understand
o Develop technical documentation (e.g., business requirement documents, systems programing requests, request for proposals, etc.) related to new system deployments and enhancements
o Identify gaps and enhancement opportunities in existing Compliance system architecture and participate in creating new or enhanced solutions
• Lead meetings between Compliance and Systems to develop and document Compliance's system needs, goals and workflows.
• Coordinate and build Compliance system user acceptance testing for new system rollout and change management.
• Maintain and enhance internal Compliance Website.
• Management Reporting
o Work with Core Compliance team to collect data and metrics
o Design and develop reporting templates for Oversight Committee meetings
o Enhance existing approach to Compliance data management
• Project Management
o Provide PM support to Core Compliance projects
o Track deliverables and outstanding issues
o Assist team with audits
• Work with Core Compliance SMEs to maintain and update the Compliance Risk Control Self-Assessment (RCSA)
• Provide advice on various core and regulatory compliance issues as needed
• Support and represent as needed Core Compliance management in firm wide projects and initiatives

• Bachelor’s Degree
• At least 7 - 10 years of relevant compliance experience
• Prior experience in a large financial organization
• Experience managing projects
• Experience evaluating, selecting and implementing Compliance technology solutions
• Experience working with IT on technology projects; Business Analyst experience a plus
• Strong organizational, analytical, written and verbal communication skills
• Detail oriented and ability to identify and resolve problems
• Ability to work independently and achieve results
• Possess strong written and oral communication skills; excellent organizational and project management skills
• Strong data analysis skills, including fluency with Excel
• Strong problem solving and troubleshooting
• Self-starter with ability to develop effective networks throughout The Firm
• Team player Experience with automating processes and workflows preferred

What is on Offer:
• A collaborative environment that enables you to step outside your role to add value wherever you can
• Direct access to clients, information and experts across all business areas around the world
• Opportunities to grow your expertise, take on new challenges, and reinvent yourself - within the Firm
• A culture of inclusion that values each employee’s unique perspective
• High-quality benefits program emphasizing  good health, financial security, and peace of mind
• Rewarding  work with the flexibility to enjoy personal and family experiences at every career stage
• Volunteer opportunities to give back to your community and help transform the lives of others