BUSINESS UNIT AND ROLE OVERVIEW

The Core Compliance provides compliance coverage to the Executive Office and The Core divisions, which include Operations, Engineering, Controllers, Corporate Planning & Management, Corporate Treasury, Corporate and Workplace Solutions, Risk, Tax and Human Capital Management divisions. This includes:

• Conducting risk identification, measurement and assessment
• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits and inquiries
• Performing surveillance and investigations of business activities of the above-referenced Core divisions
• Testing the effectiveness of controls
• Writing policies and procedures
• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative

RESPONSIBILITIES AND QUALIFICATIONS

ROLE AND RESPONSIBILITIES

As part of the Americas Core Compliance team, you will provide compliance support and coverage for the firm’s Engineering division, with a particular focus on governance and controls related to Conduct and Insider Threat risks. In this role, you will have the opportunity to collaborate with various teams and divisions on enhancing the Engineering division’s Conduct Risk model and coordinating the firmwide approach on addressing insider threats. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. To fulfill this role and responsibilities, you will need to:

• Advise on the governance of the firmwide Insider Threat Program, aligning with industry standards and regulatory expectations

• Broadly advise, challenge, and influence the Engineering Division on governance and risk matters, with a focus on Technology Risk

• Assist and challenge the Engineering business units on the ongoing development of Engineering-owned conduct risk models

• Partner with the Engineering division and control-side groups to investigate potential insider threat activities and conduct breaches. Analyze, evaluate, and report risk/incident themes

• Perform routine regulatory horizon scanning for applicable Laws, Rules, or Regulations; advise the business to drive required implementation efforts to achieve compliance

• Develop and deliver communications and training to the Engineering Division and other functions in The Core

• As needed, support development and analysis of Engineering or Compliance-related policies, standards and processes to ensure compliance with applicable regulations and requirements

• Recommend Compliance testing, strategize and conduct Compliance forensics

• Brief senior leadership on risks identified and ensure stakeholder investment

• Coordinate with the broader The Core Compliance team on specific initiatives and projects

QUALIFICATIONS AND SKILLS

A strong candidate for The Core Compliance team will satisfy the following criteria:

• At least 6-8+ years of work experience, experience as a Compliance officer or in a risk management role
• Bachelor’s degree or higher, graduate degree in information security/risk management a plus, but not required
• Good understanding of Compliance and (other risks) associated with engineering and technology functions
• Experience reading and interpreting jurisdictional regulations, laws and statutes
• Experience conducting business-facing trainings
• Experience managing conduct investigations related to breaches in firm policy or ethical standards
• Understanding of the global regulatory environment related to insider threat, fraud, technology, cyber security, information security, data governance, and artificial intelligence
• Experience in insider threat, technology or conduct incident reporting, including regulatory reporting, is a plus
• Experience interacting with regulators, or supporting regulatory audits or inquiries
• Intellectual interest in new and emerging technologies, opportunities and risks, including artificial intelligence

A strong candidate for The Core Compliance will possess the following skills:

• Clear, concise written and verbal communications skills; able to communicate with impact at senior levels
• Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
• Work independently. Exercise sound judgment, ethics and integrity
• Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
• Strong project management skills; Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
• Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgment
• Take ownership of tasks, progress them independently, and escalate to senior stakeholders when required
• Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
• Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders