Compliance, Federation Compliance, Associate, New York

GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

• Conducting risk identification, measurement and assessment
• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits and inquiries
• Performing surveillance and investigations of business activities of the above-referenced Federation groups
• Testing the effectiveness of controls
• Writing policies and procedures
• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative

• Advise, challenge, and influence the Engineering Division and business divisions on regulations, policies, and reputational risk
• Brief senior leadership on risks identified and ensure stakeholder investment
• Analyze and conduct ongoing reviews of technology regulations, agency guidance, trends and enforcement actions to assess the impact to the firm and identify potential gaps
• Partner with the impacted groups to ensure the business is able to support new requirements
• Identify, investigate and manage compliance issues and escalations involving the Engineering Division, Technology Risk and GCDI
• Coordinate with counterparts in other jurisdictions to ensure the firm is meeting technology related regulatory requirements globally
• As needed, support development and analysis of technology-related policies, standards and processes to ensure compliance with applicable regulations and requirements
• Recommend compliance testing or forensic work to be performed
• Develop and deliver communications and training to the Engineering Division and other Federation teams
• Coordinate with the broader Federation Compliance team on specific initiatives and projects

• At least 3-5+ years of work experience, experience as a compliance officer or in a risk related role focused on technology risk is preferable
• Bachelor's degree or higher, graduate degree in information security/risk management a plus, but not required
• Good understanding of the risks associated with technology functions
• Experience reading and interpreting regulations, laws and statutes
• Understanding of the global regulatory environment as it relates to technology, cyber security, information security, data governance, artificial intelligence and Cloud computing
• Experience in cyber regulatory requirements and technology incident reporting is a plus
• Experience interacting with regulators, or supporting regulatory audits or inquiries
• Intellectual interest in new and emerging technologies, opportunities and risks, including artificial intelligence

• Clear, concise communications skills;
• Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk associate
• Work independently. Exercise sound judgment, ethics and integrity
• Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
• Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
• Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgment
• Take ownership of tasks, progress them independently, and escalate to senior stakeholders when required
• Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
• Team-oriented and supportive of others' success; comfortable representing a team work product to stakeholders