Senior Compliance Specialist

Senior Compliance Specialist

Senior Compliance Specialist
Location (F): Boston
Slot Number (F): 0878


Description


The Senior Compliance Specialist executes and supports one or more compliance programs within the GRC function. Compliance Programs may include but are not limited to the following: OFAC, AML, Anti-bribery/Gifts, Insider Trading, SSAE 16, Records Retention, Policies, Contracts, Conflict of Interest, Internal Audit Program/Practices, Regulatory Compliance, etc.

Accountabilities:
Accountabilities may include, but are not limited, to the following:
- Execute the daily operations and activities of assigned program(s).
- Serve as mentor and SME to Compliance Specialists.
- Develop reporting metrics, guidelines, procedures, policies and rules pertaining to function and operation of the program(s)
- Draft periodic risk assessments to ensure the program is mitigating risks appropriately
- Coordinate and perform audit/reviews to prospectively test assigned program(s) for compliance with regulations, company policy and procedures, and managerial guidelines.
- Investigate reports of non-compliance, as deemed necessary, and assist in development of corrective action plans.
- Support the examination of the effectiveness of the program (policies, standards, procedures).
- Assist in the development and roll-out of educational plan, training materials, to educate employees about the program(s) and their role in the program.
- Develop working relationships with associates to achieve the desired goals of the program(s).
- Maintain a current understanding of regulatory trends and changes in law that impact assigned program(s).
Qualifications:
* BS/BA in Business Administration, Accounting, Risk Management, Information Security, Legal Studies or equivalent combination of education and experience
* 4-6 years audit, compliance or legal experience in Financial Services
* Knowledge of industry regulatory standards, preferably industry related.
* Strong analytical, written, and oral communication skills
* Proficient spreadsheet, Internet, PowerPoint, and Word processing skills.