Job Description

Reference # : 19-00938Title : Compliance Analyst - Risk Assessment
Location : New York, NY
Position Type : Contract
Experience Level : Start Date / End Date : 10/14/2019 / 10/13/2020
Our client, a leading global financial services company, has approximately 200 million customer accounts and does business in more than 140 countries. They provide consumers, corporations, governments and institutions with financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management.


Conduct Risk Appetite Compliance Officer

- Assist Conduct Risk ICRM in executing Conduct Risk ICRM's annual plan of Manager's Control Assessment ("MCA”) entities that will undergo an enhanced assessment of conduct risk ("Enhanced Conduct Risk Assessment”).
- Contact MCA leads globally to discuss results of Product and Function (P&F) MCA conduct risk assessments and conduct the Enhanced Conduct Risk Assessment using diagnostic questionnaire.
- Review applicable P&F's MCA conduct risk assessments for risk tiering, conduct risk identification at risk and control level, adverse monitoring results, and controls.
- Report results of the Enhanced Conduct Risk Assessment and produce aggregate and thematic reporting that can be utilized in board reporting and escalation to senior management.
Data Review and Management:
- Conduct data quality and check/challenge of conduct risk-related data from multiple firm sources including Opened Issues, Regulatory Inventory Additions, Cited and Potential Violations of Laws, Policy Breaches and Overdue Regulatory Change implementation.
- Contact data owner in each of the categories above if certain data does not appear to be appropriately tagged to conduct risk taxonomy, understand rationale, challenge if necessary, document resolution and escalate results and resolution to Conduct Risk ICRM.
Required Skills:
- In addition to excel and ppt skills, co-sources need to be able to write narrative prose for Senior Management and Board members to describe themes and takeaways.
- Demonstrated experience and ability to work with senior management, excellent communication (oral and written) skills.

Spanish language skills a plus
Required Education: BA required, additional degrees or licenses preferred/welcome.


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