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Manager of Compliance and Operational Risk
3 months ago
Job Overview:
At Bank of America, our mission is to enhance financial well-being through meaningful connections. We are committed to Responsible Growth, which reflects our dedication to serving clients, teammates, communities, and shareholders effectively.
We prioritize creating a workplace that is diverse and inclusive, ensuring that we attract individuals from various backgrounds and experiences. Our investment in our teammates and their families is evident through our competitive benefits aimed at supporting their overall well-being.
We believe in the power of collaboration while also offering flexibility tailored to the needs of different roles within our organization.
Joining Bank of America means embarking on a fulfilling career with ample opportunities for personal and professional growth, along with the chance to make a significant impact.
Position Summary:
This role is essential for implementing the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy, and the Compliance and Operational Risk Management (CORM) Program. Key responsibilities include:
- Evaluating risks and controls to ensure compliance with relevant laws and regulations.
- Providing independent oversight of Front Line Unit or Control Function (FLU/CF) performance and third-party relationships in accordance with established policies.
- Identifying and addressing compliance and operational risk issues promptly, including documenting new concerns as necessary.
- Maintaining a comprehensive inventory of processes, risks, and controls, while reporting any compliance violations.
- Interpreting laws and regulations to offer practical guidance to stakeholders and managing risks effectively.
- Responding to regulatory inquiries and supporting the development of training programs.
- Reviewing FLU/CF processes and monitoring for regulatory changes that may impact operations.
Essential Skills:
- Advisory and Regulatory Compliance expertise
- Strong Reporting and Risk Management capabilities
- Effective Written Communication and Active Listening skills
- Analytical Thinking and Interpretation of Relevant Laws
- Negotiation and Management of Policies and Procedures
- Adaptability and Business Process Analysis
- Issue Management and Monitoring Techniques
Role Responsibilities:
The Global Control Room (GCR) plays a critical role in mitigating legal, compliance, and reputational risks. Responsibilities include:
- Reviewing Investment Banking transactions for potential inclusion on the Watch or Restricted List.
- Assessing Sustainability & Global Research reports prior to public release.
- Providing preclearance for Global Markets trades involving restricted list issuers.
- Offering subject matter expertise on information wall policies to support various business lines.
- Facilitating training for new hires and junior team members.
- Managing daily Control Room operations and assisting in quality assurance reviews.
- Contributing to global technology initiatives and user acceptance testing.
Candidate Qualifications:
7+ years of experience, a Bachelor's Degree or equivalent, and in-depth knowledge of relevant laws and regulations are required.
Work Schedule:
1st shift (United States of America)
Weekly Hours:
40
