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VP Head of Compliance Training

NEW YORK-10014, NY, US
10/08/2020

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Required Skills

communication skills, MS Project

Company

Infinity Consulting Solutions, Inc

Experience

10 to 12 Year(s)

Job Description

VP Head of Compliance Training

Our client, a leading global financial services firm is seeking to add a VP Head of Compliance Training.

This role has overall responsibility and accountability for contributing to developing and implementing the strategic direction for the policy governance and maintenance functions.

Responsibilities

Department Management.

Working with the MD, Policies and Training to develop and implement the strategic vision for policy governance and management.

Work with Compliance Policy Content Owners to harmonize global and regional policies and ensure regulatory changes are made on time and have been vetted and approved by the pre-release and/or live due date.

Develop, implement and enforce standards for policy content, structure and presentation.

Implement the criteria and schedule for periodic reviews to ensure all policies remain current and relevant.

Assisting in managing the current governance processes and committees.

Provide oversight and management of project deliverables including:

Project plans on all policy change request and scheduled reviews.

Follow-up with accountable parties on status and provide weekly updates on all projects.

Creating / implementing the policy implementation calendar and aligning it to meet regulatory and business target dates.

Policy infrastructure and systems.

Be responsible for the department website for communicating policy and training information to the organization.

Build and maintain relationships with key stakeholders within the business and functional areas to engage them in the review and approval processes for policies.

Coordinate required training with the Compliance Training unit on new and revised or annual policy refreshers and awareness campaigns.

Process Management.

Provide oversight of the document revision and implementation processes (from request through implementation); evaluate the current processes, suggest and implement approved improvements.

Manage the Policy Review Committee (PRC) process; attend PRC meetings and update drafts of documents during the meetings as needed. Fill in for the PRC Chair as needed.

Provide oversight for the administration of the Senior Review Committee and Policy Governance Board (PGB) process; schedules and documentation.

Work with the Compliance Project Office and develop processes to provide information in response to annual filings and ad hoc requests from regulators.

Ensure all SOPs are documented, current and followed; manage internal audits.

Content and Document Management and Development.

Ensure procedures are in place.

To maintain the global Compliance policy document inventory (global and regional versions, where applicable).

To assure the quality assurance process is completed on all documents prior to reviews and implementation, e.g. consistent formatting, up to date glossary terms, grammar, etc.

Ensure documents are prepared for implementation after senior management approval, posted on the department website and appropriately communicated.

Maintain the policy glossary.

Work with Compliance Technology to maintain the department policy websites and ensure timely updates as policies and procedure changes are implemented.

As required, draft or assist in drafting new or revised policy documents.

Qualifications

BA or Master’s degree; JD a plus.

Minimum 10 years of experience in a corporate setting and experience leading and function or department.

Experience with policy development and management in a regulated, global financial institution.

Ability to think strategically about the policy management process and propose ways to improve the current and future processes.

Excellent communication skills, written and oral.

Comfortable working with and making presentation to all levels of the organization.

Ability to build relationships and be able to lead a group to reach consensus on issues. Superior influencing and collaboration skills.

Ability and willingness to learn the business.

Displays good judgment in knowing who needs to be involved and kept informed; escalate appropriately.

Can effectively manage and advance multiple concurrent projects.

Willingness to assume ownership and be accountable for their assigned area and projects.

Proficient in Word and Excel.

Knowledge of MS Project and SharePoint and willingness to learn new tools, highly desired.