Responsibilities:

• Supporting the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
• Reviewing various materials to ensure compliance with various regulatory and legal requirements.
• Identifying potential risks and escalating for further review, as required.
• Creating and maintaining reports for control, tracking, and analysis purposes and ensures appropriate and secure retention of documents.
• Working with more senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence.
• Interacting and working with other areas within ICRM, as necessary.
• Coordinating and tracking policy, training, and other compliance risk management initiatives.
• Assisting in the preparation, editing and maintenance of Compliance program related materials.
• Additional duties as assigned.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders and /or other team members.

Skills and Experience:

• Previous experience in compliance, legal or another control-related function in a financial services firm, regulatory organization, or legal/consulting firm.
• Knowledge of Compliance laws, rules, regulations, risks and typologies.
• Excellent written and verbal communication skills.
• Must be a self-starter, flexible, innovative and adaptive.
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization.
• Strong project management and organizational skills and capability to handle multiple projects at one time.
• Proficient in MS Office applications (Excel, Word, PowerPoint).

Education:

• Bachelor’s degree in relative field.
• Advanced degree a plus.