Compliance Manager- Policies, Procedures and Projects
The Compliance Manager-Policies, Procedures and Projects is a subject matter expert within the Corporate & Investment Banking (CIB) compliance group that oversees and performs special projects, governance and policies and procedures, risk assessments and exam management and other compliance operations related to the Wholesale segment.
The Compliance Manager is responsible for supervising and executing special projects involving cross-functional teams within CIB and providing guidance regarding associated regulatory requirements and the control framework. As a manager, will lead efforts to establish and maintain compliance policies and procedures related to the activities of the compliance group, including committee approvals and other governance activities. The manager will also coordinate internal investigations, the review of identified compliance issues and regulatory exams. Furthermore, the manager will lead Regulatory Risk Assessment reviews of applicable rules including control mapping and effectiveness, and determination of risk ratings of areas such as investment banking, securities offerings and originations, syndicate, sales, trading and research, derivatives and foreign exchange, and mergers and acquisitions, for Broker Dealer, Swap Dealer and Bank Dealer, with support from direct reports and other compliance staff.
Works closely with the line of business and product risk administration, enterprise risk and other stakeholders regarding issue identification, root cause analysis and action plan remediation.
Minimum Requirements: College degree. 7-9 years of experience in regulatory compliance or the financial services industry in areas such as broker dealer, bank, legal, audit, or risk management; or equivalent. Strong analytical and problem solving skills. Strong communication skills, both verbal and written. Strong presentation and facilitation skills. Ability to perform multiple tasks in a fluid environment, and to work both independently and as a member of a team. Team leader or supervisory experience.
Preferred Requirements: MBA or advanced degree. 10+ years of experience in regulatory compliance. Institutional Broker Dealer compliance experience. Exam and compliance management experience Demonstrated experience with regulatory agencies and a broad knowledge of legal and organizational matters and the ability to apply knowledge to issues of all levels of complexity. Ability to organize, direct, and perform highly complex analysis and tasks. Interpret complex laws and regulations. Demonstrated leadership ability.
Equal Opportunity Employer: SunTrust supports a diverse workforce and is a Drug Testing and Equal Opportunity Employer. SunTrust does not discriminate against individuals on the basis of race, creed, color, gender, religion, national originTo review the EEO Poster, copy and paste the following link into your browser: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf