Sr. Compliance Officer - Compliance Oversight Program

Our client is seeking a Senior Compliance Officer within the Compliance Monitoring and Testing Team. In this vital capacity, you will be entrusted with the development, implementation, and coordination of the Compliance Oversight Program, ensuring comprehensive coverage of first line Risk Owner activities and making a substantive contribution to the organization’s overarching compliance strategy.

Key Responsibilities:
In your capacity as Senior Compliance Officer for the Compliance Oversight Program, you will play a vital role in advancing the organization's compliance strategy. Your daily responsibilities will encompass close collaboration with international colleagues as you help shape program design elements that underpin effective risk management across diverse business units. You will be tasked with evaluating testing routines against industry standards, maintaining essential documentation, communicating insights to senior management, and supporting issue management initiatives. By participating in working groups and special projects, you will have ample opportunity to share your expertise while learning from others. Success in this role requires an aptitude for building robust relationships across teams, demonstrating meticulous attention when evaluating complex business matters, and maintaining a proactive approach towards continuous improvement.

• Assist in developing, implementing, and coordinating the Compliance Oversight Program by evaluating program design elements and analyzing Risk Owner testing routines that contribute to comprehensive compliance coverage plans.
• Collaborate with colleagues across global regions to evaluate and coordinate with Risk Owners, ensuring alignment between compliance testing plans and monitoring coverage of key risks for applicable laws, rules, and regulations.
• Assess the effectiveness of Risk Owners’ test and monitoring routines against firmwide standards by documenting analysis of coverage, execution methodology, sampling adherence, and record creation.
• Monitor program effectiveness continuously and communicate findings to stakeholders and senior management to maintain program viability and integrity of coverage.
• Identify deficiencies in compliance processes and communicate these effectively to key stakeholders while constructively exercising credible challenge.
• Maintain up-to-date procedures, templates, and tools required for efficient operation of the Compliance Oversight Program.
• Support compliance testing activities by assisting with test execution that contributes directly to the overall compliance coverage plan.
• Participate actively in issue management initiatives aimed at fostering a culture of compliance throughout the enterprise.
• Contribute towards working groups and collaborative efforts focused on enhancing core compliance functions across business units.
• Engage in special projects as they arise to further strengthen the overall core compliance framework.

Key Requirements:
To excel as Senior Compliance Officer – Compliance Oversight Program, you will bring demonstrable experience from previous appointments within financial services or regulatory environments where you have shown your ability to manage multifaceted compliance processes. Your background should reflect substantial familiarity with operational practices of broker dealers or similar entities alongside an understanding of global regulatory requirements. You will possess exemplary interpersonal skills that enable you to collaborate effectively across teams whilst providing thoughtful guidance to senior managers. Your analytical acumen will allow you to interpret complex data sets accurately whilst maintaining high standards of documentation. Project management proficiency is essential as you navigate multiple priorities simultaneously. Competence in standard office software ensures seamless workflow integration. Above all else, your commitment to ongoing learning—whether through formal education or practical experience—will distinguish you as someone who thrives in environments dedicated to growth leadership.

• Bachelor’s degree or progressive work experience evidencing commitment to professional growth within compliance or related fields.
• Five to seven years of relevant experience in compliance oversight or analogous roles within financial institutions or regulatory bodies.
• Experience working with registered US broker dealers or regulators for five or more years is highly desirable for this position.
• A Juris Doctor (JD) qualification is considered advantageous but not mandatory; candidates possessing equivalent practical experience are encouraged to apply.
• Comprehensive understanding of operational, financial, sales & trading activities within global financial institutions together with their regulatory reporting obligations.
• Working knowledge of the financial industry’s regulatory landscape including familiarity with applicable rules and regulations governing capital markets businesses.
• Excellent interpersonal skills enabling you to cultivate trust-based relationships with senior managers, stakeholders, and colleagues across multiple regions.
• Outstanding organizational abilities combined with clear written and verbal communication skills that facilitate effective client service delivery.
• Exceptional analytical capabilities with scrupulous attention when evaluating data sets or intricate compliance-related business issues.
• Demonstrated project management skills including managing multiple work streams concurrently whilst engaging constructively with various partners.
• Proficiency in Microsoft Excel, Word, PowerPoint, SharePoint for documentation management and reporting purposes.

What sets this company apart:

• The organization distinguishes itself through its steadfast commitment to equitable compensation practices that recognize individual contributions whilst promoting fairness among all colleagues.

What's next:
If interested in this position, please contact Daniela Garcia at +1 332 205 3839 or Daniela.Garcia@robertwalters.com