Compliance, Global Markets - Compliance Risk Assessment, Vice President

Location(s) US-NY-New York
Job ID
Schedule Type
Full Time
Vice President
Business Unit
GMC - Core Programs
Employment Type




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.


Global Markets Compliance is responsible for comprehensively identifying and managing the regulatory, legal, and reputational risks of the Global Markets Division.


Job Summary:


The Compliance Risk Assessment team within Global Markets Compliance is responsible for overseeing the periodic compliance risk assessment of Global Markets.  We are looking for a team member to manage this and related processes for the Global Markets Assessment Units.  At times, the role will require navigating and problem solving across multiple teams and stakeholders bearing in mind timelines and a senior audience.  This role may also have an opportunity to assist with certain governance processes associated with the firm’s Volcker Compliance Program (which is also owned by this team).


Principal Responsibilities:

  • Oversee Global Markets Compliance involvement in the Compliance Risk Assessment process
  • Analyze trends in risk assessment results; follow up and challenge assessments, as needed
  • Develop Senior Management presentations
  • Coordinate with central Compliance and Risk teams to understand updates to the compliance risk taxonomy and Assessment Units
  • Assist with Global Markets Compliance involvement in the Risk and Control Self-Assessment (RCSA)

Basic Required Qualifications:

  • Bachelor's degree required
  • Experience with compliance risk assessments and/or risk and control self-assessments
  • Minimum of 5 years of experience in compliance or risk management in the financial services industry
  • Strong project management skills
  • Detail-oriented and able to produce quality work product, even when working under tight timeframes
  • Comfortable being independent and a self-starter
  • Ability to decipher and navigate ambiguous situations with the aim of developing solutions
  • Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment 
  • Analytical; capable of identifying and distilling relevant information quickly
  • Excellent oral and written communication skills
  • MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred



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