Regulatory Compliance Risk Manager
4 weeks ago
At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.
Bank of America believes both in the importance of working together and offering flexibility to our employees. Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. This job is responsible for the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and the Compliance and Operational Risk Management (CORM) Program. Key responsibilities include identifying, escalating, and mitigating risks in a timely manner, engaging with Front Line Units and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, executing the CORM Program and the Policies, identifying themes and trends, and conducting analysis for new and emerging risks.
Assesses risks, associated controls and their effectiveness, driving compliance with applicable laws, rules, and regulations and adhering to policies
Engages in activities to provide independent compliance and operational risk oversight of Front Line Unit or Control Function (FLU/CF) 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
Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses, including opening new issues based on risk severity in the centralized issues tool
Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks including monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintaining a comprehensive regulatory inventory, while supporting communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures and/or processes are appropriately implemented or amended to address regulatory requirements
Responds to regulatory inquiries, other audits, and examinations and identifies regulatory training needs supporting the development of the training curriculum
Reviews and challenges FLU/CF process, risk, Single Process Inventory and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage
Regulatory Compliance
Risk Management
Interpret Relevant Laws, Rules, and Regulations
Policies, Procedures, and Guidelines Management
Business Process Analysis
Monitoring, Surveillance, and Testing
The Global Control Room (GCR) has a business-critical role to mitigate legal, compliance and reputational risk within the firm and is responsible for managing the flow of Material Non-Public Information between different areas within Global Banking, Global Markets & International business lines.
GCR also plays a key role in assisting lines of business in implementing, monitoring, testing and enforcing the Enterprise Information Wall Policy.
This position is part of the Americas Control Room covering US, Canada, and Latin America.
Review Investment Banking (“IB”) transactions for potential addition(s) to the Watch List and/or Restricted List. Review of Sustainability & Global Research reports prior to public dissemination against the Watch or Restricted List in accordance with Laws, Rules, and Regulations.
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.
Bachelor’s Degree or Equivalent experience
- In depth knowledge of or certification in law, rule, regulation or area of coverage
Shift:
1st shift (United States of America) Hours Per Week:
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