Senior Compliance Officer
Popular
- San Juan, PR
- Permanent
- Full-time
- Prepares and executes enterprise-wide regulatory and/or financial risk assessments to assure ongoing compliance with Consumer Federal and Local regulations.
- Research regulatory law, recent or proposed changes, guidance, and interpretations as part of the planning process of the assessment.
- Develop walkthrough questionnaires for assessed lines of business to ascertain compliance with regulatory requirements and determine the effectiveness of internal control processes.
- Responsible for conducting information gathering sessions with Business Unit personnel (including management and support staff), performing substantive on-site assessment of risk and controls, summarizing results, preparing written final reports to be presented to management, and documenting all issues raised during the assessments.
- Analyzes data from multiple sources and systematically documenting the work and results.
- Follows assessment schedules to ensure all assessments are completed within established timeframes and documented within systems of record.
- Assess the inherent and residual compliance risks and controls though the established risk and control framework. Analyze and document work results. Work with the business lines to source data required to support RRA inherent risk metrics.
- Responsible for supervising and performing quality review over the reviews of assigned Compliance Officers, if applicable.
- Identify and confirm potential compliance issues.
- Develop, socialize, and present the risk assessment framework and methodology results to compliance counterparts and business lines.
- Suggest risk mitigation strategies to business areas and other control functions.
- Update as needed policies and procedures related to the risk assessment process.
- Ensure results of the risk assessment are tracked until remediated in accordance with corporate compliance standards.
- Own, develop and enhance the Risk Assessment Methodology and suite of tools, as needed.
- Provide updates on the risk assessment process as needed.
- Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws. Coach and develop employees. Foster a spirit of teamwork allows for disagreement over ideas as well as diversity. Demonstrates an understanding of business processes, control frameworks, and related regulatory and compliance standards.
- Establish and maintain strong relationships with other Compliance Units and Business Areas. Engage with subject matter experts as needed.
- Support the Compliance Program Office in Internal Audits, exams, and reporting as needed.
- Licensed as attorney in at least one jurisdiction (preferred).
- Securities Licenses (preferred).
- Strong time-management and organizational skills. Establish priorities and work with different tasks simultaneously.
- Ability to understand and interpret various laws, regulations, and policies. Including but not limited to, non-deposit investment products and fiduciary services.
- Strong research and analytical skills.
- Excellent customer service skills, including telephone skills and telephone etiquette.
- Able to maintain effective interpersonal relationships and lead/work in teams a must.
- Detail oriented, able to identify situations, look for alternatives and make good decisions.
- Able to work under pressure, with a sense of urgency and meet deadlines.
- Ability to work independently and to carry out assignments to completion within parameters of instructions given, prescribed routines, and standard accepted practices.
- Ability to work in teams and collaborate with peers in order to meet common goals.
- Excellent interpersonal and communication skills with both clients and co-workers.
- Manage different computer systems such as Office 365 including, Outlook, Microsoft Office, Excel, among others.
- Be proficient in both English and Spanish.
- High degree of commitment, and ability to adapt to new situations.
- Passion for People
- Own Every Moment
- Succeed Together
- Build the Future