Utah Staffing
Compliance, Transformation Office, Vice President, Salt Lake
Utah Staffing, Salt Lake City, Utah, United States, 84193
Compliance Transformation Office
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. A new team created to transform and optimize the overall Compliance function to drive increased effectiveness and efficiency of the Compliance Program. We partner with the senior Global Compliance leadership to articulate clear, measurable goals and align the transformation activities with the divisional strategic objectives and regulatory drivers. We engage with the broader Compliance organization to accelerate the delivery pace, advance the forward-looking vision, and create sustainable, future-proof solutions. Responsibilities: Assess existing processes and capabilities to identify gaps and opportunities for optimization, as well as develop transformation strategy Review existing organizational structure and deploy transformation levers such as Target Operating Model (TOM), control framework, process engineering, automation and location strategy Collaborate with a broad group of stakeholders to define a holistic and integrated roadmap for initiatives relating to technology, reporting, and process enhancements. Support execution with a sense of urgency Create an effective governance framework for scope review, roadblock resolution, risk management, and communicating project health Provide oversight and coordination during initiation, scoping, requirements definition, development, testing, and go-live stages to ensure that the divisional objectives are met within agreed timeframes. Timely escalate items at risk and clearly articulate the impact Establish and maintain regular communication channels to ensure alignment across various stakeholder groups and functions Continuously communicate divisional objectives to maintain stakeholders' and teams' focus on successful outcomes Structure ambiguous problems and take action to solve them without complete information Prepare materials for working groups and committees, project dashboards, operating model diagrams, requirement specifications, test plans, etc. Qualifications: Bachelor's degree in Business, Finance, Computer Engineering/Science, or a related field 7+ years of professional experience in a Project Management or Program Management function, preferably within the financial services industry Proven track record in crafting transformation strategies, developing automation roadmaps and operationalizing capabilities end-to-end Persistent, resourceful and tenacious self-starter adept at navigating complex challenges and ambiguity Ability to communicate with impact and tailor messaging to diverse stakeholder groups including engineering and product teams, end users, management, and...
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. A new team created to transform and optimize the overall Compliance function to drive increased effectiveness and efficiency of the Compliance Program. We partner with the senior Global Compliance leadership to articulate clear, measurable goals and align the transformation activities with the divisional strategic objectives and regulatory drivers. We engage with the broader Compliance organization to accelerate the delivery pace, advance the forward-looking vision, and create sustainable, future-proof solutions. Responsibilities: Assess existing processes and capabilities to identify gaps and opportunities for optimization, as well as develop transformation strategy Review existing organizational structure and deploy transformation levers such as Target Operating Model (TOM), control framework, process engineering, automation and location strategy Collaborate with a broad group of stakeholders to define a holistic and integrated roadmap for initiatives relating to technology, reporting, and process enhancements. Support execution with a sense of urgency Create an effective governance framework for scope review, roadblock resolution, risk management, and communicating project health Provide oversight and coordination during initiation, scoping, requirements definition, development, testing, and go-live stages to ensure that the divisional objectives are met within agreed timeframes. Timely escalate items at risk and clearly articulate the impact Establish and maintain regular communication channels to ensure alignment across various stakeholder groups and functions Continuously communicate divisional objectives to maintain stakeholders' and teams' focus on successful outcomes Structure ambiguous problems and take action to solve them without complete information Prepare materials for working groups and committees, project dashboards, operating model diagrams, requirement specifications, test plans, etc. Qualifications: Bachelor's degree in Business, Finance, Computer Engineering/Science, or a related field 7+ years of professional experience in a Project Management or Program Management function, preferably within the financial services industry Proven track record in crafting transformation strategies, developing automation roadmaps and operationalizing capabilities end-to-end Persistent, resourceful and tenacious self-starter adept at navigating complex challenges and ambiguity Ability to communicate with impact and tailor messaging to diverse stakeholder groups including engineering and product teams, end users, management, and...