Compliance and Operational Risk Manager

2 months ago

Plymouth, Plymouth, United Kingdom Bank of America Full time

About the Role:

The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Manager is a subject matter expert on specific processes, controls, laws, rules, and/or regulations that have enterprise-wide applicability, affecting two or more Front Line Units (FLU) or Control Functions (CF). This role is responsible for the execution of the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively "the Policies") and the Compliance and Operational Risk Management (CORM) Program.

Key Responsibilities:

  • Assesses risks, associated controls, and their effectiveness, driving compliance with applicable laws, rules, and regulations and adhering to policies.
  • Engages in activities to provide independent compliance and operational risk oversight of Front Line Unit or Control Function (FLU/CF) performance and any related third-party/vendor relationships in alignment with the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures.
  • Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses, including opening new issues based on risk severity in the centralized issues tool.
  • Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities.
  • Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks, including monitoring the regulatory environment to identify regulatory changes applicable to areas of coverage and maintaining a comprehensive regulatory inventory, while supporting communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures, and/or processes are appropriately implemented or amended to address regulatory requirements.
  • Responds to regulatory inquiries, other audits, and examinations and identifies regulatory training needs supporting the development of the training curriculum.
  • Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to areas of coverage.
  • Plans, coordinates, and manages components of the day-to-day activities of running the Business Continuity and Operational Resiliency (BCOR) risk program, such as risk identification, issues management, regulatory and audit exams management, SPI/process mapping, and controls.
  • Ensures BCOR risk governance, including policies, standards, and controls readily demonstrate compliance with regulations and policies.
  • Enhances the BCOR risk identification process to adhere to regulatory expectations and manages the risk identification process in line with the risk framework.

Requirements:

  • 7+ years of experience in risk management, business controls, enterprise-wide role, managing regulator activities, or a combination of each.
  • Advanced knowledge in the use of data analytic tools (Excel, Access, Tableau, etc.).
  • Advanced knowledge in the use of presentation tools (Adobe, PowerPoint).
  • Experience performing independent assessments of areas that require attention with high visibility along with issue closure evidence reviews.
  • Strong Project Management skills with the proven ability to lead initiatives front to back independently while meeting strict deadlines.
  • Proven presentation skills: ability to analyze and synthesize data and present key messages, recommendations, and information in a clear, concise, and insightful way.
  • Ability to influence effectively at all levels within the organization.

Shift: 1st shift (United States of America)

Hours Per Week: 40

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