VP Head of Compliance Training

VP Head of Compliance Training



Our client, a leading global financial services firm is seeking to add a VP Head of Compliance Training. This role has overall responsibility and accountability for contributing to developing and implementing the strategic direction for the policy governance and maintenance functions.



Responsibilities ·

• Department Management.
• Working with the MD, Policies and Training to develop and implement the strategic vision for policy governance and management.
• Work with Compliance Policy Content Owners to harmonize global and regional policies and ensure regulatory changes are made on time and have been vetted and approved by the pre-release and/or live due date.
• Develop, implement and enforce standards for policy content, structure and presentation.
• Implement the criteria and schedule for periodic reviews to ensure all policies remain current and relevant.
• Assisting in managing the current governance processes and committees.
• Provide oversight and management of project deliverables including:
• Project plans on all policy change request and scheduled reviews.
• Follow-up with accountable parties on status and provide weekly updates on all projects. ·
• Creating / implementing the policy implementation calendar and aligning it to meet regulatory and business target dates.
• Policy infrastructure and systems.
• Be responsible for the department website for communicating policy and training information to the organization.
• Build and maintain relationships with key stakeholders within the business and functional areas to engage them in the review and approval processes for policies.
• Coordinate required training with the Compliance Training unit on new and revised or annual policy refreshers and awareness campaigns.
• Process Management.
• Provide oversight of the document revision and implementation processes (from request through implementation); evaluate the current processes, suggest and implement approved improvements.
• Manage the Policy Review Committee (PRC) process; attend PRC meetings and update drafts of documents during the meetings as needed. Fill in for the PRC Chair as needed. ·
• Provide oversight for the administration of the Senior Review Committee and Policy Governance Board (PGB) process; schedules and documentation.
• Work with the Compliance Project Office and develop processes to provide information in response to annual filings and ad hoc requests from regulators.
• Ensure all SOPs are documented, current and followed; manage internal audits.
• Content and Document Management and Development.
• Ensure procedures are in place.
• To maintain the global Compliance policy document inventory (global and regional versions, where applicable).
• To assure the quality assurance process is completed on all documents prior to reviews and implementation, e.g. consistent formatting, up to date glossary terms, grammar, etc.
• Ensure documents are prepared for implementation after senior management approval, posted on the department website and appropriately communicated.
• Maintain the policy glossary.
• Work with Compliance Technology to maintain the department policy websites and ensure timely updates as policies and procedure changes are implemented.
• As required, draft or assist in drafting new or revised policy documents.

Qualifications

• BA or Master's degree; JD a plus.
• Minimum 10 years of experience in a corporate setting and experience leading and function or department.
• Experience with policy development and management in a regulated, global financial institution.
• Ability to think strategically about the policy management process and propose ways to improve the current and future processes.
• Excellent communication skills, written and oral.
• Comfortable working with and making presentation to all levels of the organization.
• Ability to build relationships and be able to lead a group to reach consensus on issues. · Superior influencing and collaboration skills.
• Ability and willingness to learn the business.
• Displays good judgment in knowing who needs to be involved and kept informed; escalate appropriately.
• Can effectively manage and advance multiple concurrent projects.
• Willingness to assume ownership and be accountable for their assigned area and projects. ·
• Proficient in Word and Excel.
• Knowledge of MS Project and SharePoint and willingness to learn new tools, highly desired.