Must have a Bachelors degree or foreign equivalent in Business, Law or a related field plus five 5 years of progressively responsible experience in the position offered, as a Compliance Officer, Legal Counsel, or a related position. The employer will accept a Juris Doctorate in meeting the education requirements. Must have five 5 years of progressively responsible experience with each of the following Compliance and regulatory risk and assessments; Implementation and execution of compliance programs; Support the establishment and maintenance of processes, policies, procedures and standards to address compliance risks as well as their implementation across business lines; Analyzing results of the risk assessment of the external and internal controls environment to identify key focus areas; Identifying, reviewing, tracking and managing risks and issues to ensure completion within agreed target completion dates and validation of closure of risks and issues; Analyzing policies and procedures to identify risks and gaps in the control environment and providing feedback on design and operating effectiveness; and Advising clientfacing business staff on transactions, conflicts of interest, compliance policy and procedure and riskrelated issues to ensure proper conduct and regulatory outcomes.
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