Corporate Compliance Technology Job Description
Corporate Compliance Technology Duties & Responsibilities
To write an effective corporate compliance technology job description, begin by listing detailed duties, responsibilities and expectations. We have included corporate compliance technology job description templates that you can modify and use.
Sample responsibilities for this position include:
Corporate Compliance Technology Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Corporate Compliance Technology
List any licenses or certifications required by the position: EMEA, CISSP, CISA, ITIL, CRCM
Education for Corporate Compliance Technology
Typically a job would require a certain level of education.
Employers hiring for the corporate compliance technology job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Computer Science, Engineering, Technical, Information Systems, Technology, Business, Finance, Science, Auditing, Graduate
Skills for Corporate Compliance Technology
Desired skills for corporate compliance technology include:
Desired experience for corporate compliance technology includes:
Corporate Compliance Technology Examples
Corporate Compliance Technology Job Description
- Monitor and analyze CCT financials, identifying and escalating issues and risks to CCT Sr
- Responsible for ensuring Audit and Regulatory issues and concerns are proactively anticipated and effectively addressed
- Evaluate access administration procedures for appropriateness and compliance
- Provide management oversight of the EMEA Operations, Technology & Corporate Function Compliance team
- Work within a Global CIB Operations & Technology Compliance Team and Global Corporate Functions Compliance to develop best practices and consistent global standards
- Work as part of the management team for the wider CIB Operations & Technology Compliance function to drive effective relationships between the different teams and ensure consistent and holistic coverage of relevant issues
- To be considered for this role, you may be required to complete a video interview powered by Hirevue
- Work closely with technology, compliance and operational risk colleagues across the firm to monitor and assess risks associated with technology events and incidents
- Liaise with CCOR teams across the firm to ensure consistent and best practice compliance and operational risk procedures and controls are adhered to and implemented
- Establish and maintain a consistent and sustainable event/incident management and issue reporting process firmwide
- Proven ability to collaborate and build strong partnerships with senior management across business, technology and operations across regions and lines of business
- Manage project estimating activity working across multiple teams
- Experience with configuring monitoring tools (Tivoli, VCOPs, CA Wily)
- Strong knowledge of banking laws and regulations
- Some understanding of the technology and applications used in broker-dealer operations (ex
- Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business, Compliance and Legal control functions
Corporate Compliance Technology Job Description
- Interfaces with senior and middle line management making decisions independently but discusses unusual or complex issues with compliance and operational risk management
- Possess compliance and operational risk monitoring and testing skills, including appropriate documentation and evidencing through the CCOR Program tool
- Implement and maintain a reliable and sustainable reporting model to provide timely and relevant management information across, through appropriate reporting mechanisms (scorecards, dashboards, monthly management meetings)
- Develop, plan and execute analytical and big data projects as an engineering lead
- Explore how Compliance topologies can be distilled into insights through data that will create an impact on how Compliance investigators review alerts and cases
- Develop approaches for understanding each Compliance area and their behavior to deliver a continually improved experience
- Invent creative and innovative ways to answer key business questions by leveraging existing data assets or seek out new ones
- Collaborate with product managers, end users, developers, architects and other stakeholders to integrate data discoveries and processes into operational capabilities
- Be a data story teller, deliver practical data insights in a compelling manner to senior leadership
- Articulate findings clearly and concisely including presentations, discussions and visualizations
- Establish and maintain strong relationships and ongoing dialog with key senior Technology leaders
- Liaise with Regulators as appropriate regarding program
- Execute the Global Compliance Program with respect to Enterprise Technology in NAMR including the execution of the Compliance Risk Assessment, providing input into the development of the Annual Compliance Plan, participating in relevant compliance testing and monitoring activities, providing appropriate compliance training to the organization, and developing and overseeing the appropriate Reg Change Management process
- Manage and coach team members to excel
- Provide management reporting as part of the monthly and quarterly requirements
- Extensive knowledge of existing and emerging Technologies within Financial Services
Corporate Compliance Technology Job Description
- Brainstorm requirements with cross-functional teams and come up with design ideas
- Design user interfaces and quickly iterate on multiple design solution by working through details
- Effectively communicate design rationale both verbally and visually
- Handle design walkthroughs with key business stakeholders and user groups
- Manage the design process, drive decisions, track issues, and assist in estimating resource needs and schedules in Agile environment
- Work closely with Business Analysts, Tech Leads and development teams to ensure that design specifications are implemented
- Participate as a contributor to an interdisciplinary team that includes other designers, project management, business and software developers
- Maintains a proficient knowledge of rules and regulations and their impact on products, services and operations for a specific line of business
- Establishes line of business partnerships and serving as a subject matter expert to the business groups on issues related to compliance
- Conducts research of laws and regulations that impact compliance to include monitoring for new laws and regulations or changes to existing laws and regulations and providing communication to appropriate lines of business which will be impacted by these changes
- Ability to connect the dots on various efforts to efficiently and effectively implement programs
- Manage and coach Vice President employee
- Strong critical thinking and analytical reasoning
- Strong organizational skill and ability to independently prioritize tasks
- Must be available outside regular business hours including occasional evenings and weekends
- Management experience in the food industry
Corporate Compliance Technology Job Description
- Gathers information requested by regulatory agencies
- Focuses on the resolution of complex problems or transactions, where expertise is required to interpret against policies, guidelines or processes
- May supervise day-to-day work of other professional level compliance associates
- Identify efficiencies in risk framework including risk identification, management, resolution, and timing
- Ensure governance and oversight functions have visibility to risks, issues, and mitigation activities
- Conduct enterprise-wide risk assessments
- Develop and present report-outs to senior level leadership
- Evaluate key security controls related to threat environment
- May conduct investigatory interviews
- Working knowledge of food safety, microbiological concepts, store operations, logistics, and/or manufacturing operation (pay level-9)
- 4- 5 years’ experience in compliance or audit role related to technology role (or a control function such as Risk or Oversight & Control), within the financial services industry
- 7 - 10 years experience in Technology or Compliance with a focus on governance and controls (or a control function such as Risk or Oversight & Control), within the financial services industry
- A bachelor's degree required, MS preferred
- Broad knowledge of existing and emerging technologies within the Financial Services industry
- Strong track record in delivery and execution
Corporate Compliance Technology Job Description
- 8-10+ years’ experience in Controls, Risk Management, Compliance or Audit
- Ability to understand, interpret, and apply regulatory and operational risk guidelines and standards applicable to each line of business
- Understanding of corporate governance requirements and principles of risk management and compliance
- Experience implementing compliance and operational risk policies and procedures
- Engineering background – Advanced degree in a technical field
- Compliance background – You must have already worked closely with Compliance functions at a major financial institution through a wide spectrum of technical solutions
- Fluent level written and verbal communication skills in both Japanese and English
- Experience researching and interpreting laws and regulations
- Experience with regulatory inspections and interactions
- Attention to detail with the ability to manage multiple tasks simultaneously
- Strong control mind-set and a sense of urgency
- Technology knowledge and/or Technology background preferable