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Risk Management Jobs, Compliance Management
Jobs
from the International Association of Risk
and Compliance Professionals (IARCP)
Download the E-book: 100 Job Descriptions in Risk and Compliance
Management
The 190 pages e-book: "Discover 100 Job Descriptions in Risk and
Compliance Management and what it takes to get hired. Which
factors matter" is a great reference book, developed in 2010,
free to all members of the Association.
Contents
1. Risk Professionals
2. Compliance Professionals
3.
Sarbanes Oxley Professionals
4. Basel ii Professionals
5.
Solvency ii Professionals
6. Hedge Funds Professionals
7.
Members of the Board of Directors
Download the E-book:
100 Job Descriptions in Risk and Compliance Management
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Are you looking for
a job in risk and compliance management?
Become a member of the following
Associations. Membership is free
1.
Sarbanes Oxley Compliance
Professionals Association (SOXCPA)
This is the largest Association of Sarbanes Oxley professionals
in the world.
The website of the Association:
www.sarbanes-oxley-association.com
2.
Basel ii Compliance Professionals Association (BCPA)
This is the largest association
of Basel ii professionals in the world.
The website of
the Association:
www.basel-ii-association.com
3.
Basel iii Compliance Professionals Association (BiiiCPA)
This is the largest association of Basel iii professionals
in the world.
The website of the Association:
www.basel-iii-association.com
4.
International Association of Risk and Compliance Professionals
(IARCP)
Risk-based
compliance is becoming more important year after year.
The website of the Association:
www.risk-compliance-association.com
Case Study
Case Study: Compliance Manager -
Commercial Banking Permanent
Commercial Banking Compliance
supports line of business compliance with laws and regulations
relevant to all aspects of Commercial Banking. CB has several
different sub-lines of business which include Mid-Corporate Banking,
Middle Market Banking, Chase Business Credit, Chase Capital,
Leasing, Real Estate, Capital Placements Group and Financial
Institutions and these business lines serve clients with $10MM - $2B
in annual revenue, as well as government, not-for profit and
healthcare clients.
The Compliance Manager for the
securities team is responsible for managing the securities related
activities for CB which includes adherence to all rules and
regulations for all registered representatives and MFPs within the
Commercial Bank. The Commercial Banking Compliance Manager for the
securities team is a part of the CB Compliance management team and
reports directly to the Chief Compliance Officer for Commercial
Banking.
Responsibilities:
Monitor, assess, and
influence banking and corporate regulatory compliance processes with
respect to the securities related business in Commercial Banking
Provide ongoingtechnical compliance guidance and expertise to
business line officers and management
Coordinate and manage
the firm's MFP program in the Commercial Bank
Perform annual
risk assessment of securities regulations/mitigants
Ensure
compliance with all state and local rules (ie gifts, political
contributions, lobbying laws) for government banking group
Develop various presentations and report metrics for business line
management
Monitor regulatory developments and participate
in industry-wide initiatives
Perform annual compliance
securities testing for business units
Provide Annual
Compliance Meeting (ACM) training to all licensed bankers
Develop overall securities related training program for all licensed
bankers in Commercial Banking
Interface with Internal Audit
and Regulatory Branch audit on all securities related matters
Responsible for rules and regulations for gifts/entertainment
for licensed bankers/MFPs
Monitor space sharing guidelines
for Commercial Bank
Responsible for Conflicts Office/Control
Room training and coordination within Commercial Bank
Demonstrate strong analytical project management and control skills.
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