The Legal Entities Group (LEG) resides within the Data Operations function as part of Shared Services Banking Operations (SSBO). The LEG function is responsible for the input and upkeep of Legal Entities reference data for various regulatory programs including reference data for: Know Your Customer (KYC) and Client Identification Programs (CIP) in support of Anti Money Laundering (AML) policies across multiple jurisdiction; EMIR; MiFID; and regulatory tax programs e.g. CRS and FATCA.
The LEG Regulatory Program Support Regional Lead will be responsible for providing run-the-bank (RTB) process and procedural support to LEG Management and Staff. Duties will include but not limited to the following:
- Assist with day to day escalation between LEG processes and Operations, Compliance, Risk and business stakeholders;
- Support the development and ongoing maintenance of business requirements and regulatory rulesets for regulatory programs to be implemented into the LEG Control Framework;
- Involvement in the identification and management of process improvement projects;
- Proactively identify, analyze and articulate the impact of risk and develop/execute action plans; and
- Review and respond appropriately to exception reports and management reports designed to help manage risk (regulatory risk, operational risk, etc.), workload, and performance of staff.
- Understanding of markets business and product types.
- Understanding of KYC and AML processes and regulatory environment.
- Strong organizational skills. Ability to prioritize and manage multiple priorities and meeting deadlines.
- Ability to drive change and improve daily processes in the work place delivering both capacity and control.
- Able to assess problems and provide effective, innovate solutions with confidence.
- Experience with methodologies in business process and organizational redesign experience.
- Excellent analytical and problem solving capabilities. Includes problem structuring, analysis and ability to translate information into actionable implications and recommendations.
- Facilitation, negotiation and influencing skills. Proficiency in negotiating priorities and resolving conflicts among stakeholders. Able to influence others and function effectively in a collaborative work environment. Works successfully with multidisciplinary teams.
- Bachelors degree or advanced degree
- Business process redesign experience.
- Six Sigma Certification (Desired)
- Excellent written and verbal capabilities. Communicates effectively with business, technology, and senior audiences.
- Intermediate to advanced Microsoft Office Applications (MS Excel, MS Access, MS Project, MS Word, MS PowerPoint, Outlook
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