Recruiter: Compliance Search
Location: New York, NY
Our client, a top tier global financial services firm, is seeking an individual to manage and direct their Investigations Unit in the U.S.
Investigations Case management (30%)
• This Department is responsible for all investigations referred by the firm
•s business entities, principally in the Americas, but with Global reach where necessary.
• Utilize the dedicated Case Management System for the recording and management of casework.
• Demonstrate commercial awareness during investigations to maximize recovery and cost reduction opportunities where appropriate.
Strategy (15%)
• Serve as the senior representative within the Americas region, contributing to the strategic development and direction of the function across the firm.
• Promote and embed the operating model with key partners, both within and outside Compliance.
• Contribute to the development of strategic governance and the building of the unit as a
•centre of excellence
•.
Stakeholder Engagement (20%)
• Engage and build strong working relationships with key stakeholders, including but not limited to Front Office teams, Risk, Compliance, Legal, Operations, Credit, Human Resources, Finance and Audit.
• Build effective relationships with external bodies, including but not limited to regulatory authorities, law enforcement, industry groups, peers and associations.
Management & Team Responsibilities (20%)
• Manage and mentor staff, providing necessary guidance and instruction in the conduct of investigations and ensuring adherence to all approved policies, procedures and processes.
• Design and deliver Investigations training as required and in conjunction with training strategies.
• Manage production of relevant management information reporting, strategic/trend analysis and appropriate feedback processes to the business and infrastructure, in conjunction with departmental governance standards.
• Be pro-active in both keeping informed of and incorporating relevant investigations best practice into the Department
•s procedures and activities.
• Enhance operational efficiency and effectiveness in all that the team does.
• Actively support and contribute to the on-going development of the global intranet and SharePoint sites.
• Represent the team at Departmental meetings and related Oversight and Risk committees.
Governance, Risk and Controls (15%)
• Ensure that all activities and duties within the team are carried out in full compliance with regulatory requirements, the Enterprise Risk Management Framework (ERMF) and internal Policies and Standards.
• Implement necessary controls to ensure that risks identified within the departmental Investigations Risk Control Self-Assessment (RCSA) are effectively mitigated.
• Create an ongoing controls monitoring program to drive compliance with the risk and controls environment.
• Manage Supplier Risks and associated controls.
• Contribute to the ongoing review of Investigations Policy, Standards, Procedures and Risk documentation such as Risk Frameworks and RCSA.
• Create and own a local subset of Investigations operational procedures.
• Respond to attestation requests (e.g. in relation to SOX controls).
• Take action to ensure compliance with Bank policies such as those on Records Management, Data Privacy,
Qualifications:
• Bachelor degree
• 8 years investigative experience
• 8 years
• experience in Law Enforcement, Regulatory, Audit or Risk
• 8 years
• experience in financial services industry, with a multinational company in another sector or an investigative public body
• Experience at giving evidence in criminal and/or civil, tribunal or disciplinary proceedings
• Excellent written, communication and presentational skills
• Analytical skills including but not limited to report writing, evidence gathering, fact finding and data analysis
• Knowledge of financial reporting and the banking regulatory regime
• Computer literate with knowledge and experience of using Microsoft Windows packages and familiarity with the principles and operation of case management systems
• Practical knowledge of risk control, detection, prevention and mitigation in operational environments
• People management skills with the ability train, mentor, and lead and develop staff
• Strategic judgment and decision making abilities
• Ability to communicate effectively at all levels, including with senior stakeholders
• Works well under pressure with demanding multiple deliverables, working alone or as part of a team
• Ability to operate and thrive in a challenging and fast moving business environment and accept and embrace change
• Available for international travel
To apply please submit resumes to: Jack Kelly-Jkelly@ComplianceSearch.com
Location: New York, NY
Our client, a top tier global financial services firm, is seeking an individual to manage and direct their Investigations Unit in the U.S.
Investigations Case management (30%)
• This Department is responsible for all investigations referred by the firm
•s business entities, principally in the Americas, but with Global reach where necessary.
• Utilize the dedicated Case Management System for the recording and management of casework.
• Demonstrate commercial awareness during investigations to maximize recovery and cost reduction opportunities where appropriate.
Strategy (15%)
• Serve as the senior representative within the Americas region, contributing to the strategic development and direction of the function across the firm.
• Promote and embed the operating model with key partners, both within and outside Compliance.
• Contribute to the development of strategic governance and the building of the unit as a
•centre of excellence
•.
Stakeholder Engagement (20%)
• Engage and build strong working relationships with key stakeholders, including but not limited to Front Office teams, Risk, Compliance, Legal, Operations, Credit, Human Resources, Finance and Audit.
• Build effective relationships with external bodies, including but not limited to regulatory authorities, law enforcement, industry groups, peers and associations.
Management & Team Responsibilities (20%)
• Manage and mentor staff, providing necessary guidance and instruction in the conduct of investigations and ensuring adherence to all approved policies, procedures and processes.
• Design and deliver Investigations training as required and in conjunction with training strategies.
• Manage production of relevant management information reporting, strategic/trend analysis and appropriate feedback processes to the business and infrastructure, in conjunction with departmental governance standards.
• Be pro-active in both keeping informed of and incorporating relevant investigations best practice into the Department
•s procedures and activities.
• Enhance operational efficiency and effectiveness in all that the team does.
• Actively support and contribute to the on-going development of the global intranet and SharePoint sites.
• Represent the team at Departmental meetings and related Oversight and Risk committees.
Governance, Risk and Controls (15%)
• Ensure that all activities and duties within the team are carried out in full compliance with regulatory requirements, the Enterprise Risk Management Framework (ERMF) and internal Policies and Standards.
• Implement necessary controls to ensure that risks identified within the departmental Investigations Risk Control Self-Assessment (RCSA) are effectively mitigated.
• Create an ongoing controls monitoring program to drive compliance with the risk and controls environment.
• Manage Supplier Risks and associated controls.
• Contribute to the ongoing review of Investigations Policy, Standards, Procedures and Risk documentation such as Risk Frameworks and RCSA.
• Create and own a local subset of Investigations operational procedures.
• Respond to attestation requests (e.g. in relation to SOX controls).
• Take action to ensure compliance with Bank policies such as those on Records Management, Data Privacy,
Qualifications:
• Bachelor degree
• 8 years investigative experience
• 8 years
• experience in Law Enforcement, Regulatory, Audit or Risk
• 8 years
• experience in financial services industry, with a multinational company in another sector or an investigative public body
• Experience at giving evidence in criminal and/or civil, tribunal or disciplinary proceedings
• Excellent written, communication and presentational skills
• Analytical skills including but not limited to report writing, evidence gathering, fact finding and data analysis
• Knowledge of financial reporting and the banking regulatory regime
• Computer literate with knowledge and experience of using Microsoft Windows packages and familiarity with the principles and operation of case management systems
• Practical knowledge of risk control, detection, prevention and mitigation in operational environments
• People management skills with the ability train, mentor, and lead and develop staff
• Strategic judgment and decision making abilities
• Ability to communicate effectively at all levels, including with senior stakeholders
• Works well under pressure with demanding multiple deliverables, working alone or as part of a team
• Ability to operate and thrive in a challenging and fast moving business environment and accept and embrace change
• Available for international travel
To apply please submit resumes to: Jack Kelly-Jkelly@ComplianceSearch.com