VP Compliance Training & Business Management

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 15 Feb 19

This role is responsible for the management and oversight of the U.S. Compliance Training Program including the development, delivery, tracking and reporting of regional Compliance training. Additionally, this role provides support to the Head of Central Compliance/Chief of Staff in managing the operations of the Compliance department on an as needed basis.

~~Compliance Training
• Managing the U.S. Compliance Training and Awareness Program
• Coordinating with global Compliance colleagues and business areas to evaluate the scope, content, frequency and target audience for Compliance training and ensure the messaging is aligned to the global standards 
• Conducting the annual Training Needs Assessment for the U.S.
• Managing the U.S. Compliance Training Calendar including liaising with key stakeholders and SMEs to ensure training materials meet regulatory and global policy requirements and managing any changes to the calendar that occur throughout the year
• Managing the training tracking process to drive accurate and complete attendance records
• Managing Compliance training related reporting, including any required metrics, escalation, and committee reports
• Coordinating with the Communications Department on compliance and ethics related messaging

Business Management
• Assist in Compliance department initiatives and processes at the direction of the Chief of Staff including:  the identification and implementation of key synergies and cost saving initiatives for the Compliance department, which could include:
o Preparing presentations for internal and external groups as required
o Supporting the Compliance issue remediation efforts, including ensuring timely escalation where necessary
o Creating actionable plans and ensure the functional tasks are completed on-time and escalated when appropriate

Experience /Qualifications/Education:
• Bachelor’s degree required; advanced degree desirable
• Minimum of 4 years working experience in the Financial Services industry or professional practice
• Prior experience in developing and managing training programs preferred
• Prior experience in project and process management experience preferred
• Familiarity with AML Compliance a plus
• Strong organizational and interpersonal skills
• Excellent written and oral communication skills
• Strong knowledge of Excel & PowerPoint