Compliance Officer handling client complaints, regulatory inquiries, and internal matters at financial services firm. Leading investigations and ensuring compliance with CIRO rules and policies.
About the role
- Compliance & Operational Risk Specialist responsible for mitigating legal, compliance, and reputational risks at Bank of America. Managing Material Non-Public Information and supporting various business functions.
Responsibilities
- Review Investment Banking (“IB”) transactions for potential addition(s) to the Watch List and/or Restricted List.
- Follow up with IB to receive deal updates.
- Review of Global Research reports prior to public dissemination against the Watch or Restricted List in accordance with Laws, Rules, and Regulations.
- Provide Global Markets principal/firm trade preclearance on restricted list issuers.
- Provide information wall subject matter expertise/consultation to support all lines of business and support partners.
- Assist with the training of new hires and junior team members.
- Respond to AMRS regulatory Inquiries, lead/facilitate meetings with Research Legal and Investment Banking Legal.
- Manage day to day Control Room processes.
- Assist AMRS manager in Quality Assurance reviews for the AMRS team.
- Provide training and awareness to the lines of business and their support partners on information wall topics.
- Contribute to global technology initiatives via idea generation, UAT testing or working alongside Global Tech and Operations support partners.
- Assists in assessing risks, associated controls and their effectiveness, while driving compliance with applicable laws, rules, and regulations, adhering to policies, and developing reporting and documentation.
- Engages in activities to provide support to the Compliance and Operational Risk teams in order to provide independent compliance and operational risk oversight of Front Line Unit or Control Function performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures.
- Assists in identifying and escalating problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses.
- Assists in the development of independent risk management reporting for respective area(s) of coverage as input into management routines.
- Assists in responding to regulatory inquiries and other audits and examinations.
- Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory.
Requirements
- 3+ years experience
- Bachelor’s degree or equivalent experience
- Ability to produce accurate work output and reports under tight deadlines
- Communicates effectively in both oral and written formats and tailors message appropriately to audience
- Demonstrates intellectual curiosity and drives operational excellence
- Ability to think critically to quickly analyze and resolve issues
- Influences and delivers results through collaborative relationship with key partners and stakeholders
- Works independently to prioritize work and deliver against regulatory deadlines in a dynamic environment
- Ability to demonstrate a high level of integrity with a mature approach to work
- Discrete when handling confidential information
Benefits
- This role is currently benefits eligible.
- We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
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