Member of Volcker Compliance team advising front office and infrastructure functions with respect to the design and implementation of the Enterprise Volcker Compliance Program globally
Advise front office and Infrastructure Functions in the design and implementation of new controls and the enhancement of existing controls
Assist in preparing senior management and board level reports on the status of the Enterprise Compliance Program
Facilitate engagement with US Regulators as part of examinations related to the firm's Enterprise Compliance Program.
Work with Legal and Outside Counsel to interpret the applicability of the Volcker Rule to the bank's various businesses on a cross-divisional basis
Review Independent Testing and Audit Reports and assist stakeholders in implementing remediation plans.
Support the firm's CEO sub-attestation process, including overseeing quality assurance on documents submitted in connection with over 300 sub-attestations
Assist in maintaining the firm's Volcker Compliance Manual and other relevant policies and procedures.
Conduct the firm's annual Volcker Risk Assessment in cooperation with business line Compliance and the Compliance Risk Assessment team.
Participate in the firm's senior governance forums relating to the Volcker Rule.
Create and manage action plans for the various Compliance deliverables associated with the rule.
Lead or assist with training on the Volcker Rule, including, as necessary, developing and delivering Volcker training to front office and infrastructure functions. Level of Skills, Abilities, and Knowledge:
7+ years of general broker-dealer or bank legal/regulatory/compliance experience, preferably in an investment bank or law firm;
Strong working knowledge of the Volcker Rule;
Knowledge of the 1940 Investment Company Act and CFTC Rules a plus;
Familiarity with Regulatory Reform including Dodd Frank;
Experience with drafting and implementing policies and procedures;
Ability to work effectively in a cross-border environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally;
Strong strategic, problem solving and analytical skills, while comfortable navigating uncertainty and ambiguity;
Ability to conduct self-directed due diligence and confidence and willingness to challenge front-office
Ability to work diligently on multiple projects in a fast paced environment;