Strategy - Planning

Lead Compliance Officer

Contract

Strategic Staffing Solutions

STRATEGIC STAFFING SOLUTIONS HAS AN OPENING!

Strategic Staffing Solutions is currently looking for a Lead Compliance Officer for a contract opening with one of our largest clients!

This is a Contract Opportunity with our company that MUST be worked on a W2 ONLY, NO visa sponsorship or C2C eligibility for this position. The details are below.

Job Title: Lead Compliance Officer
Contract: 5 Months+ possibility for extension/conversion
Location: New York, NY

Job/Role Description:

  • Develop, implement and maintain the Enterprise Compliance Operations (“ECO”) supervisory oversight processes in order to mitigate compliance risk related to the team’s operational activities
  • Perform, monitor, and enforce information barrier processes/key controls
  • Monitor and report large shareholdings/certain transaction reporting as required by regulation
  • Perform employee compliance related key processes and controls associated with personal account trading, outside business activities and private securities transactions, G&E (Gifts and Entertainment) pre-clearance, Lobbyist management, and registration/licensing
  • Develop, implement and maintain the ECO regulatory change process to assess the impact of regulatory change; implement action plans within the ECO to address regulatory change; and/or providing compliance oversight to the lines of business/functions that the ECO supports regarding regulatory change
  • Provide oversight and monitoring of business group risk-based compliance programs
  • Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
  • Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
  • Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • Report findings and make recommendations to management and appropriate committees
  • Identify and recommend opportunities for process improvement and risk control development
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
  • Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
  • Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
  • Make decisions and resolve issues to meet business objectives
  • Interpret policies, procedures, and compliance requirements
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
  • Work with complex business units, rules and regulations on moderate to high risk compliance matters
  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics.

Required Qualifications:

  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

How to Apply:  send resume and contact information to Nisa Peake, Sourcing Specialist, at npeake@strategicstaff.com.

The S3 Difference:

The global mission of S3 is to build trusting relationships and deliver solutions that positively impact our customers, our consultants, and our communities. The four pillars of our company are to:

  • Set the bar high for what a company should do
  • Create jobs
  • Offer people an opportunity to succeed and change their station in life
  • Improve the communities where we live and work through volunteering and charitable giving

As an S3 employee, you’re eligible for a full benefits package that may include:

  • Medical Insurance
  • Dental Insurance
  • Vision Insurance
  • 401(k) Plan
  • Vacation Package
  • Life & Disability Insurance Plans
  • Flexible Spending Accounts
  • Tuition Reimbursement

Job ID: JOB-207026
Publish Date: 14 Sep 2022

Tagged as: Lead Compliance Officer