Senior Process Manager - Regulatory Governance Vice President
Senior Process Manager - Regulatory Governance Vice President
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Job Description
The Regulatory Governance team sits within AWMs Chief Administrative Office and oversees the Legal & Regulatory Change Management (LRCM) process for AWM. LRCM is the formal change management process for legal developments and/or regulatory changes. Key stakeholders to this process include Legal Compliance Risk Control Management and the Business. When relevant regulatory events are identified which require an update to processes systems policies or procedures each impacted business leverages existing change management processes to review the required changes and make necessary enhancements.
As a Senior Process Manager in the AWM Chief Administrative office you are responsible for overseeing changes and coordinating updates to Policies and Standards for impacted AWM teams ensuring adherence while coordinating changes to documents/processes where needed. The Senior Process Manager will also be responsible for leading the Quality Assurance process for regulations impacting AWM identified by the Office of Legal Obligation (OLO). This role involves collaboration with Legal the Business Compliance Risk and other key control functions to manage regulatory changes and ensure compliance within AWM.
Job Responsibilities:
- Office of Legal Obligations (OLO) Program Supportpartner with the AWM OLO Sustainment team to ensure the integrity of obligation mapping negative confirmation and Regulatory Event Notification (REN) reviews in the Enterprise Library Application (ELA).
- Quality Assurance and TestingPerform QA sample testing to predefined test scripts on a quarterly basis. Execute additional Quality Assurance Reviews or targeted reviews as needed.
- Identify issues that could result in potential failures or recommendations to the AWM LOB.
- Perform horizontal testing across SubLOBs within AWM to identify potential inconsistencies in mapping to obligations.
- Document and communicate any identified best practices.
- Policy and Standard Process ManagementOversee the annual review for Policy And Standard documents owned by AWM ensuring compliance with Firmwide governance requirements.
- Act as Single Point for the Office of Document Governance (ODG) representing AWM for input on new/updated Firmwide Policy and Standards.
- Review and challenge new policy/standard requests before ODG review.
- Submit and track exception requests to Firmwide governance requirements including submission decision expiration annual renewal and completion.
- Project Management and Additional Assignments As needed participate in regulatory and change management projects within Asset & Wealth Management (AWM) ensuring alignment with Firmwide objectives and regulatory requirements.
Required qualifications capabilities and skills:
- Bachelors degree (BS/BA) with a background in Risk Management Controls Compliance and/or Audit.
- Ability to understand and interpret legal documents and operational procedures. Strong analytical and problemsolving skills.
- Proactive approach to problemsolving with determination to follow through on tasks/issues.
- Strong communication and interpersonal skills; ability to build consensus and work effectively in a team environment. Ability to articulate complex issues concisely and communicate effectively at all levels.
- Flexibility to handle multiple tasks changing priorities and monitor tight deadlines or unexpected requirement changes with the ability to question the efficiency and effectiveness of existing departmental systems/processes and suggest alternative approaches for continual improvement.
- Strong technical skills (SharePoint Confluence PowerPoint Excel functions including pivot tables charts and embedded queries).
- Ability to draft procedures/job aids to accommodate new/existing processes.
Required Experience:
Chief
Employment Type
Full-Time
