Principal, Regulatory Compliance

Salary: Open

Location: Chicago, IL

Hybrid: 3 days onsite, 2 days remote

*We are unable to provide sponsorship for this role*

Qualifications

• Bachelor's Degree in Accounting, Business, Economics, Finance, other business and finance-related disciplines or Information Systems, Computer Science or related discipline
• 10+ years of experience
• Expert working knowledge of securities and commodities rules and regulations. (ie, SEC, CFTC, etc.)
• Expert working knowledge of compliance related best practices
• Experience in risk and control frameworks, and process improvement frameworks (eg COBIT, COSO, ITIL, NIST, ISO 27001, ISO 9001, CMMI)
• Experience working in compliance, audit, or risk for a financial services company
• Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act
• Experience using an integrated risk management system such as RSA Archer. (preferred)
• Experience using NAVEX Global and PolicyTech. (preferred)

Responsibilities

• Leverage technical expertise to support regulatory evaluations spanning highly technical subject matter areas concerning information technology (including governance, networking, cloud architecture, containerization and agile delivery etc.), security services (including threat & vulnerability management, data & information management, data loss & privacy, security operations etc.), financial risk management (including credit risk, liquidity risk, model risk, stress testing, default management, etc.), clearing and settlement, enterprise risk management (including operational risk, third party risk management, etc.), corporate finance (including accounting, finance, treasury, etc.) and other general business practices
• Assist business units with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations and rules proposed by company regulators
• Further develop approaches for evaluating company compliance posture and drive enhancements to practices in alignment with existing and new regulations, industry best practice, and other relevant guidance
• Interact and communicate in a highly effective, professional, and insightful manner with business colleagues within the company and third parties such as external auditors and regulators, as needed
• Exhibit and foster a strong compliance culture across all staff members
• Exhibit and foster strong collaboration across company control functions (ie, internal audit, enterprise risk management, compliance, model validation)
• Keep abreast of changes in regulatory environment and industry best practices/frameworks (ie, NIST, COBIT, ISO, etc.)
• Independently produce and deliver education on regulatory compliance topics
• Perform ad-hoc duties for Compliance management as necessary