Senior Compliance Advisor, Regulatory Reform (371441) New York, USA
• As Senior Compliance Advisor, Wholesale Banking (WB) Legal & Compliance (LC) , support the Head of Regulatory Reform, WBLC in the delivery of a strategic, consistent, holistic, effective and efficient legal and compliance framework for the management of the multi-jurisdictional regulatory reform agenda.
• Linking seamlessly with other WBLC teams (both Product and Regions), the broader Legal and Compliance function, key business stakeholders, WB Strategy and Public Affairs, deliver strategic solutions to multi-jurisdictional and material regulatory reform (excluding sanctions and other financial crime related matters) impacting or likely to impact the Bank's global WB businesses (or significant parts of those businesses).
• Participate, with other WBLC teams (both Product and Regions), in the operationalisation of multi-jurisdictional regulatory reform initiatives as a business partner as well as an independent guardian.
Key Roles & Responsibilities
• Ensure the development and implementation of an appropriate risk based WB Legal and Compliance risk management framework around regulatory reform.
• Contribute to enhanced legal and compliance awareness and culture across WB in the area of regulatory reform, liaising closely with Country Compliance at all times, especially in connection with regulatory interaction in all jurisdictions.
• Leverage market intelligence to assist WBLC functional management in assessing the implications of the regulatory reform agenda for WB senior management, preparing presentations and MI to highlight key trends and developments.
• Leveraging the experience and expertise of WBLC regional/country heads and Country L&C Heads and their respective teams for identification and interpretation of new laws and regulations applicable to WB, undertake business impact analysis planning and, in conjunction with WB Strategy and other relevant business stakeholders (and relevant WBLC product and regional teams), solution development.
• Participate in, and oversee, solution implementation as applicable across global WB businesses (working closely with relevant WBLC product and regional teams).
• Oversee the use of external law firm costs and quality of output for regulatory reform related work.
• Ensure early socialization with key stakeholders of developing regulatory reform initiatives, ensuring clear and timely communication and training across footprint (in conjunction with Regional Heads of WBLC).
• Leveraging the experience and expertise of WBLC regional/country heads and Country L&C Heads and their respective teams, develop appropriate WBLC MI relevant to multi-jurisdictional regulatory reform (including, where relevant, country-related MI), and provide reports on key legal and regulatory issues stemming from such MI to relevant Group and WB risk and control committees.
Qualifications & Skills
• Significant regulatory or compliance experience. Preference for candidates with strong multi-jurisdictional regulatory/legal related experience at financial institution(s) and/or regulator(s), and demonstrated success in effective regulatory engagement.
• Excellent technical knowledge of laws and regulations relevant to the WB businesses/geographies, with ability to analyse the same and co-relate regulatory issues to business models.
• Demonstrable ability to effectively prioritize multiple tasks across a regionally dispersed, complex product and highly varied customer and stakeholder base.
• Advanced knowledge in risk identification, risk assessment, controls development, training, monitoring and reporting. Has a core grasp of project management and is able to prioritize and manage multiple tasks in a high pressure environment.
• Ability to lead discussions with relevant stakeholders and to drive strategic decision making with Group/WB senior management and other senior stakeholders across the Bank and with regulators.
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