The Compliance Regulatory and Assurance (CPL RA) team is a recently established "Center of Excellence" within the CACIB Compliance Function reporting directly to the Chief Compliance Officer (CCO). The CPL RA team provides strategic and centralized management of the supervisory activities of the Firm's regulators and related developments, focusing on regulatory reviews and examinations and continuous monitoring activities. CPL RA serves as the central point of contact with key supervisory regulators globally to facilitate open, cooperative and constructive relationships; provides advice and guidance on regulatory interactions and engagement; oversees responses to and commitments made to regulators; and apprises Senior Management and relevant governance bodies and stakeholders of these matters and related significant regulatory developments. The CPL RA team is comprised of four coverage areas: Project Management, Regulatory Coordination, Regulatory Watch, and Assurance. This Project Manager position will primarily support two compliance functions, more specifically,
Project Management:
Assists with defining program controls, processes, procedures, reporting cadence, decision governance structures, and ways of collaborating with key stakeholders.
Partners closely with Project Sponsor, Project Owner, and cross-functional teams to develop the scope, deliverables, required resources, work plan, budget and timing for new change initiatives.
Supports the execution of defined tasks through tracking of program milestones and their statuses, developing program plans, measuring and reporting progress against ongoing key performance indicators.
Meets with stakeholders to provide transparency into project issues and decisions on services, builds positive relationships and uses tools to uncover root causes to challenges, identify opportunities and make recommendations.
Maintains and produces documentation of the process up to and including the final product of the project.
Regulatory Coordination:
Supports the Firm in all aspects of regulatory examinations by the Capital Market and Prudential Regulators.
Notifies regulators on important internal developments, including but not limited to, the Federal Reserve and the New York State Department of Financial Services.
Leads the coordination of the Firm's responses to requests for documents and information.
Prepares for and oversees interviews and meetings between Firm employees and regulatory examiners.
Communicates with regulators regarding document requests, areas of review and potential findings.
Communicates with key stakeholders, including senior management in CPL, business and risk regarding exam status and potential findings.
A strong applicant for this position is a quick learner who works well in high-pressure situations, has good time management skills, and has the ability to prioritize and work in a dynamic, deadline-focused environment.
KNOWLEDGE AND SKILLS
Qualifications/Education Required:
Bachelor
Masters or JD desirable
Experience Required:
Minimum 5 years of professional experience, mostly in Investment Banking environments and in Support Functions (Compliance, Risks, Project Management, Regulatory Affair, etc.) with a focus of regulatory coordination and/or project management.
Direct experience with regulators - FRB, DFS, SEC, CFTC, NFA, FINRA preferred;
Competencies Required:
Ability to quickly grasp key concepts and take ownership of deliverables
Capable of handling multiple, simultaneous and various ad-hoc requests
Strong initiative
Comfortable coordinating multiple matters in a team setting