Tampa, FL - 2 days onsite/week

9 months - maternity leave coverage role

Top 3 Skills

• Motivated/positive

• Compliance background

• Adaptability

-Regulatory and compliance risk. Receive requests from consent orders

-Will work on policy team:

-Policy expertise required

-Will be accepting enterprise-wide policies and pass them along to the business, ensure they’re tagged correctly

-Will handle metrics and KPIs surrounding policies and procedures

-Execute monthly newsletter and participate in monthly meeting

-Use client policy directory

-Have breachers and waivers tools

-BS degree not required, policy experience is more important

Services Policy Lead to implement the Policy Framework Program and roll out new Policies/Procedures/Standards. Scope of the responsibilities will include developing and implementing procedure for all policy documents applicable for Services for the end to end process; feedback, drafting, development, stakeholder inclusion, approvals, maintenance, reporting and accuracy and adequacy. There may be a need for this role to coordinate with other business lines to reach agreement on changes and updates where other groups could be impacted. As part of the TTS Controls and Regulatory Management team focused on Compliance and Regulatory Risk, the candidate will be expected to take on additional projects and responsibilities as needed to support the Global function. Typically, a small number of people within the business that provide the same level of expertise. Excellent communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Provides advanced judgment and conducts in-depth quantitative or qualitative analysis to solve problems and develop new, innovative solutions. Required to think beyond existing solutions, assumptions or current knowledge of sophisticated areas. Significant impact on a function and/or the business through making decisions that determine technical approaches and strategies for the area.

Responsibilities:

• Enhance first line oversight of Policy implementation requirements, oversee administration and maintenance of the implementing Standards and Procedures, and establish a governance construct for their review and approval of these documents.

• The governance model should consist of an Executive Committee and approval Working Group, with representatives from products areas, support functions, and regions that make up the business.

• Creating, launching and managing Services wide policy function, including at times development, issuance, approval, review, communication, and maintenance.

• Training on these policy/standards and procedures may be required at times as well.

• Organize workshops and coordinate discussion with owner of policies, standards and procedures

• Understand and coordinate dependencies with other Programs (e.g. Legal Entity Oversight Initiative, Escalation Policy Initiations, etc.)

• Establish Services level metrics and quality assurance standards/framework for the Policy program

• The candidate will responsible for reporting to the Corporate Policy Group on new documents, retired documents, dispensations, waivers, breaches, design and execution matters as well as periodic reviews.

• Create and execute a written due diligence process

• Review current Policy Gap Analysis and create a plan for remediation for all Tier 1 Laws, Rules and Regulations and the Services document catalogue.

• Review client-level policies and Non-client level policies mapped to Tier 1 LRR for QA against the requirements and relevant policy template guidance to confirm 100% coverage

• Perform Document QA on standards, procedures and frameworks on sample basis

• Process QA to ensure appropriate documentation (incl. key artefacts & approvals) are stored in the required locations.

• Assist in reviewing and challenging within the FLUs the effective design and management of controls to mitigate risks as required by the Control Standards, including implementation and operation, conducting the control monitoring, handling deficiencies, and escalating issues for resolution. Serves as key business/product compliance and regulatory risk manager and thought leader for TTS responsible for establishing internal strategies, procedures, processes and programs to prevent violations of law, rule or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.

• Working knowledge of Compliance laws, rules, regulations, risks and appropriate controls

• This role will work with senior leadership and partners throughout the Legal, Independent Compliance Risk Management, Security & Regulatory Strategy & Policy to execute on various projects.

Qualifications:

• Highly motivated, strong attention to detail, team orientated

• Ability to articulate complex problems and solutions through concise and clear messaging

• 15+ years of experience in Compliance, Operational Risk, Legal or other control related function within a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; extensive experience in area of focus; previous experience managing staff

• Policy Management and/or Governance Experience required

• Team player who is adaptive and resilient amid change

• Outstanding communication and presentation skills required

• Demonstrated sound business judgment. Proven track record in risk and control oversight (including significant experience in identifying risks, control issues, implementing corrective actions and best practices). Track record leading Control related projects and programs.

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Policy Lead (compliance, regulatory, risk)