Manages specialized compliance and risk management efforts for the Company as they relate to operational risk, regulatory requirements, and regulatory and non-regulatory audits. Conducts detailed analysis of operational risk within the Company, existing/proposed regulation, and industry practices within specialty areas of expertise, and helps business develop and implement policies and procedures to meet these requirements. Develops and validates specialized control processes to ensure compliance with governing laws and rules, corporate policies and industry best practices. Partners with business managers to identify and respond to risk issues and events, new regulatory requirements, and findings of regulators and/ or auditors. May manage a specialized team of Compliance and Risk Officers to support the business. Will have contact with regulators, government officials, and senior business managers.

10 years of financial services, compliance and risk management and/or auditing experience preferred. Expertise in particular financial services rules and areas of regulation. Thorough understanding of Enterprise Risk Management programs and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to resolve stressful situations with employees, clients, auditors and regulators in a professional manner. Ability to effectively interact with senior/executive management and regulators. Strong interpersonal and influencing skills to achieve positive outcomes with constituencies over whom the incumbent has no direct authority.  MBA, JD or professional certification preferred.