Compliance, Conduct and Operational Risk Document Manager - Senior Associate
Aumni
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See open jobs at Aumni.See open jobs similar to "Compliance, Conduct and Operational Risk Document Manager - Senior Associate" NEXT Frontier Capital.Job Description
The Risk Management and Compliance (RM&C) Document Governance team is a firmwide corporate function responsible for implementing and managing the firm's governance requirements for Risk Management and CCOR-owned policies, policy supplements and standards globally. The group reports to the Head of the Office of Regulation and Governance, who, in turn, reports to the firm’s Chief Control Officer. The group is of central importance to the RM&C organization, forming part of the firm’s response to new regulations and risks impacting specific Lines of Business and Corporate Functions. The group focuses on policy, policy supplement, and standards governance and document management practices.
As a Compliance, Conduct and Operational Risk Document Manager - Senior Associate in the Global Financial Crimes (GFCC) and Operational Risk team, you will manage the end-to-end document management cycle for a portfolio of CCOR-owned policies, policy supplements, and standards, covering, for example, the portfolios. You will interact with and advice Document Owner-Approvers and their delegates to ensure documents are updated, current, and conform to firmwide requirements. You will be also responsible for validating that Line of Business, Corporate Function, and region/country-specific documents are not in conflict with firmwide or other documents, and that changes to them are appropriately syndicated and approved. This role has a hybrid schedule with a combination of in-office and remote work.
Job responsibilities
- Manage a portfolio of CCOR-owned policies, policy supplements and standards
- Drive the end-to-end document management lifecycle (drafting, revision, annual review, socialization, approval, publishing) including facilitating off-cycle updates, retirements and the development of new documents
- Assess document content against legal obligations, and identify any remediation needs
- Develop in-depth subject matter expertise over firmwide and RM&C-specific governance requirements ensuring consistency of their application to content
- Partner with Document Owner-Approver teams in the development and maintenance of new policies and standards
- Promote adherence to policy, standard and procedure governance requirements
- Contribute to, and selectively lead initiatives related to policy and standards communication, monthly bulletin, document forums, comprehensive revisions, metric development, and other group initiatives
- Identify opportunities and contribute to the continuous improvement of the document governance operating model
- Initiate and follow up with Owner-Approver teams to confirm adherence to Document requirements
Required qualifications, capabilities, and skills
- Prior experience in Compliance, Control Management, or related function within a financial institution or regulator, and an understanding of related laws, rules, and regulation
- Bachelor or higher degree in business administration, finance, law, accounting, or related discipline
- Excellent written communication skills, strong presentation, and organizational skills
- Strong attention to detail and inquisitive/control mindset
- Comfortable executing through the disciplines of project management
- Demonstrated ability to partner effectively across different business and functional areas
- Professional maturity and confidence in expressing a point of view with senior management and varied stakeholders/audiences
- Ability to anticipate and properly balance the service aspect of the role with its control and governance requirements
- Strong Excel, Word, and PowerPoint skills as they are essential for reporting, document reviews, and creating/delivering senior management level presentations
Preferred qualifications, capabilities, and skills
- Knowledge of/experience with GFCC- and Ops Risk-related regulations, rules and laws
- Willingness to be part of diversity, equity, and inclusion initiatives, and ability to bring authentic self to the role
This job is no longer accepting applications
See open jobs at Aumni.See open jobs similar to "Compliance, Conduct and Operational Risk Document Manager - Senior Associate" NEXT Frontier Capital.