Compliance Consultant

Software Guidance & Assistance, Inc., (SGA), is searching for a Compliance Consultant for a CONTRACT assignment with one of our premier Financial Services clients in Tampa, FL.

Responsibilities:
Services Policy Led to implement the Policy Framework Program and roll out new Policies/Procedures/Standards. Scope of the responsibilities will include developing and implementing procedure for all policy documents applicable for Services for the end-to-end process, feedback, drafting, development, stakeholder inclusion, approvals, maintenance, reporting, accuracy, and adequacy. There may be a need for this role to coordinate with other business lines to reach agreement on changes and updates where other groups could be impacted. As part of the TTS Controls and Regulatory Management team focused on Compliance and Regulatory Risk, the candidate will be expected to take on additional projects and responsibilities as needed to support the Global function. Typically, a small number of people within the business that provide the same level of expertise. Excellent communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Provides advanced judgment and conducts in-depth quantitative or qualitative analysis to solve problems and develop new, innovative solutions. Required to think beyond existing solutions, assumptions, or current knowledge of sophisticated areas. Significant impact on a function and/or the business through making decisions that determine technical approaches and strategies for the area.

• Enhance first line oversight of Policy implementation requirements, oversee administration and maintenance of the implementing Standards and Procedures, and establish a governance construct for their review and approval of these documents.
• The governance model should consist of an Executive Committee and approval Working Group, with representatives from products areas, support functions, and regions that make up the business.
• Creating, launching, and managing Services wide policy function, including at times development, issuance, approval, review, communication, and maintenance.
• Training on these policy/standards and procedures may be required at times as well.
• Organize workshops and coordinate discussion with owner of policies, standards, and procedures
• Understand and coordinate dependencies with other Firm Programs (e.g., Legal Entity Oversight Initiative, Escalation Policy Initiations, etc.)
• Establish Services level metrics and quality assurance standards/framework for the Policy program
• The candidate will be responsible for reporting to the Firm Corporate Policy Group on new documents, retired documents, dispensations, waivers, breaches, design, and execution matters as well as periodic reviews.
• Create and execute a written due diligence process
• Review current Policy Gap Analysis and create a plan for remediation for all Tier 1 Laws, Rules and Regulations and the Services document catalogue.
• Review Firm-level policies and non-firm level policies mapped to Tier 1 LRR for QA against the requirements and relevant policy template guidance to confirm 100% coverage
• Perform Document QA on standards, procedures, and frameworks on sample basis
• Process QA to ensure appropriate documentation (incl. key artefacts & approvals) are stored in the required locations.
• Assist in reviewing and challenging within the FLUs the effective design and management of controls to mitigate risks as required by the Control Standards, including implementation and operation, conducting the control monitoring, handling deficiencies, and escalating issues for resolution. Serves as key business/product compliance and regulatory risk manager and thought leader for TTS responsible for establishing internal strategies, procedures, processes, and programs to prevent violations of law, rule or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.
• Working knowledge of Compliance laws, rules, regulations, risks, and appropriate controls
• This role will work with senior leadership and partners throughout the Firm's Legal, Independent Compliance Risk Management, Security & Regulatory Strategy & Policy to execute on various projects.

Required Skills:

• 15+ years of experience in Compliance, Operational Risk, Legal or other control related function within a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; extensive experience in area of focus; previous experience managing staff
• Highly motivated, strong attention to detail, team orientated
• Ability to articulate complex problems and solutions through concise and clear messaging
• Policy Management and/or Governance Experience required
• Team player who is adaptive and resilient amid change
• Outstanding communication and presentation skills required
• Demonstrated sound business judgment. Proven track record in risk and control oversight (including significant experience in identifying risks, control issues, implementing corrective actions and best practices). Track record leading Control related projects and programs.

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.