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Corporate Compliance - Global Privacy Office– Technology Compliance Advisory Coverage - Firmwide Lead – Executive Director

Req #: 180038475
Location: New York, NY, US
Job Category: Compliance
Job Description:

Description of Role

This role provides the opportunity to develop a more robust, holistic and globally consistent Compliance coverage for Technology. The person will be accountable for a Firmwide Technology Compliance Coverage Program and be expected to play a key leadership role in the development and execution of the Program and to guide and influence colleagues and coverage areas.


Partnering with Line of Business and Corporate Functions Compliance Officers who are accountable for coverage of their respective segments of the technology organization, this person will be responsible for leading the effort to:

  • establish a global cross Compliance working group to set minimum standards and program components;
  • share issues and best practices across the Compliance organization;
  • partner with Technology Control Officers (TCOs) to execute program components and maintain appropriate lines of defense

The program will include the execution of the Compliance core practices (Risk Assessments, Training, Monitoring, Testing, etc.); working with subject matter experts across Compliance and Technology on related initiatives such as Privacy and Incident Management; and partnering with Technology in evaluating regulatory risks and requirements with respect to new and emerging technology ( Cloud, FinTech, etc. ).  In addition, the person will be responsible for the Compliance coverage of the Enterprise Technology organization in North America.

Key Responsibilities and Skills
  • Lead the development and implementation of the firmwide program  
  • Provide critical thinking and subject matter expertise regarding Compliance coverage for Technology
  • Drive holistic and consistent approach across global Compliance for coverage of Technology 
  • Establish and maintain strong relationships and ongoing dialog with key senior Technology leaders
  • Liaise with Regulators as appropriate regarding program
  • Execute the Global Compliance Program with respect to Enterprise Technology in NAMR including the execution of the Compliance Risk Assessment, providing input into the development of the Annual Compliance Plan, participating in relevant compliance testing and monitoring activities, providing appropriate compliance training to the organization, and developing and overseeing the appropriate Reg Change Management process
  • Manage and coach Vice President employee
  • Provide management reporting as part of the monthly and quarterly requirements


  • Extensive knowledge of existing and emerging Technologies within Financial Services
  • Proven track record of relevant Compliance, Risk Management, or similar Control Function experience preferably within Financial Services
  • Leadership, relationship-building, and influencing skills to drive agendas across multiple organizations
  • Ability to connect the dots on various efforts to efficiently and effectively implement programs
  • Strong execution
  • Strategic thinker
  • Excellent organizational skills and attention to detail
  • Strong ability to multi-task and prioritize competing demands
  • Outstanding oral and written communication skills with proven ability to communicate effectively at all levels
  • Advanced degree preferred
  • 10+ years of relevant experience

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