SoHo Dragon represents an investment bank with offices in New York, NY that needs to hire an IT AVP of Compliance for a full time opportunity.

Responsibilities

• The Compliance AVP role sits in the IT Compliance Department and is expected to shape core components of the compliance program and lead initiatives to enhance compliance activities
• The ideal candidate will be a strategic leader with a track record of developing global compliance frameworks and implementing scalable methodologies for risk identification, assessment, monitoring, and reporting
  
• Develop and implement Compliance Frameworks
• Partner with colleagues in other risk and control functions to drive consistency in program approach and framework elements, where appropriate, across bank.
  
• Develop a regulatory change management program and engage third party vendors, as appropriate, to facilitate its implementation
• Build a Quality Assurance program to support the successful implementation of the Compliance Framework
• Understand current regulatory dynamics and build agility into compliance risk management activities to drive responsiveness
  
• Establish standards and programs for the identification, tracking and remediation of Compliance Issues identified by Compliance and other parties
• Develop and lead Compliance Program Centers of Excellence, including policy, reporting and regulatory change management
• Drive the identification and development of corrective action plans to resolve compliance issues; develop strategies and practices to reduce potential for violations and noncompliance
• Manage the Compliance Department's record keeping program

Qualifications

• The ideal candidate will have a strong background in control methodology and risk management frameworks in financial services
• Leadership experience of a multidisciplinary team
• Minimum of 10 years related work experience in a compliance, risk or control function within financial services
• Strong analytical skills and fluency with developing metrics and data strategies
• Experience designing risk management frameworks is preferred
• Experience with Global Relay is preferred
• Strong communication and influence skills across all levels of management
• Working experience with the COSO Integrated Control Framework
• Experience leading and developing staff