BUSINESS UNIT AND ROLE OVERVIEW

CF&O Compliance provides compliance coverage to the Control, Finance and Operating (CF&O) Divisions, which include Operations, Engineering, Controllers, Corporate Planning & Management, Corporate Treasury, Corporate and Workplace Solutions, Executive Office,  Risk, Tax and Human Capital Management divisions. This includes:

• Conducting risk identification, measurement and assessment
• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits and inquiries
• Performing surveillance and investigations of business activities of the above-referenced CF&O divisions
• Testing the effectiveness of controls
• Writing policies and procedures
• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative

RESPONSIBILITIES AND QUALIFICATIONS

As team lead for the Americas CF&O Engineering, Risk and Corporate Planning and Management coverage team you will lead a team of Compliance professionals responsible for providing compliance coverage to three key divisions of the firm, with a specific focus on topical risks, including: 

1. Oversight of the firm’s artificial intelligence governance program. 
2. Information security and cyber threat; and,
3. Third-party risk management and outsourcing. 

In this role, you will have the opportunity to collaborate with various teams and divisions, including in relation to the integration of artificial intelligence (AI) within the Firm. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. To fulfill this role and responsibilities, you will need to:

• Oversee a team of Compliance professionals based in New York and Dallas. 
• Support CF&O Compliance management in directing and executing on the team’s strategy.
• Help co-ordinate and participate in the delivery of the firm’s response to regulatory inquiries including, but not limited to, artificial intelligence, information security and cyber threats, and third-party risk management.
• Understand and advise on existing and emerging regulatory requirements in relation to the key risk areas.
• Actively participate in key steering groups and control forums related to AI to ensure governance processes are integrated into the broader Compliance framework
• Assist in the ongoing development of the firm’s governance, risk and control framework as it pertains to the key above key thematic and risk focus areas.
• More broadly, advise, challenge, and influence the Engineering Division and business divisions in relation to regulations, policies, and reputational risk
• Brief senior leadership on risks identified and ensure stakeholder investment 
• Analyze and conduct ongoing reviews of technology regulations, agency guidance, trends and enforcement actions to assess the impact to the firm and identify potential gaps
• Partner with impacted groups to ensure the business can support new requirements
• Coordinate with counterparts in other jurisdictions to ensure the firm is meeting technology related regulatory requirements globally
• As needed, support development and analysis of technology-related policies, standards and processes to ensure compliance with applicable regulations and requirements
• Recommend compliance testing or forensic work to be performed 
• Develop and deliver communications and training to the divisions covered
• Coordinate with the broader CF&O Compliance team on specific initiatives and projects

QUALIFICATIONS AND SKILLS

A strong candidate for CF&O Compliance will satisfy the following criteria:

• At least 8+ years of work experience as a compliance officer or a risk management role 
• Bachelor’s degree or higher, graduate degree in information security/risk management a plus, but not required
• Good understanding of the risks associated with technological functions
• Experience reading and interpreting regulations, laws and statutes
• Understanding of the global regulatory environment as it relates to technology, cyber security, information security, data governance, and artificial intelligence 
• Experience in cyber regulatory requirements and technology incident reporting is a plus
• Experience interacting with regulators, or supporting regulatory audits or inquiries
• Intellectual interest in new and emerging technologies, opportunities and risks, including artificial intelligence

A strong candidate for CF&O Compliance will possess the following skills:

• Clear, concise communications skills; able to communicate with impact at senior levels
• Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
• Work independently. Exercise sound judgment, ethics and integrity
• Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
• Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
• Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgment
• Take ownership of tasks, progress them independently, and escalate to senior stakeholders when required
• Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
• Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders