To be effective an individual must be able to perform each job duty successfully.

• Manage core components for the Compliance Management System (CMS) including internal procedures regulatory change management issue managementtrainingand compliance reporting

• Maintain compliance program documentation standards and governancematerialsusing enterprisedocument managementplatforms (e.g. SharePoint)

• Develop andmaintaincompliance dashboards metrics and management reports using tools such as Excel SharePoint and other reporting platforms

• Develop andmanage centralized repositories for compliance artifacts evidence and reporting to support auditsexamsand internal governance

• Facilitate meetings working sessions and governance forums related to compliance programs

• Design and manage data tracking mechanisms tomonitorprogram performance key risk indicators (KRIs) and compliance obligations

• Configure and manage SharePoint sites lists document libraries to support compliance workflows and data integrity

• Serve as a functional partner to technology teams in the use and enhancement of compliance tools workflows and reporting solutions

• Translate regulatory requirements into actionable program tasks milestones and documentation

• Act as liaison between compliance business teams audit riskmanagementand technology partners

• Support regulatory change management by coordinating intake impact assessment and implementation tracking across stakeholders

• Analyzeroot causes and recurring themes to support risk-informed decision making

• Support preparation of materials for senior management risk committees and board reporting

• Support the adoption and optimization of GRC compliance or other risk management systems as applicable

• Track regulatory change actions dependencies and completion status using tracking tools

• Maintain logs action plans and supporting evidence within internal systems or enterprise-based tools

• Promote data-driven compliance practices andconsistentdocumentation standards across the organization

• Identifyopportunities to advance compliance program effectiveness efficiency and data quality

• Support program maturity enhancements aligned with organizational growth and regulatory expectations

KNOWLEDGE SKILLS and ABILITIES

The requirements listed are representative of the knowledge skills and/or abilities. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions.

Education andExperience

• Bachelors degreeor equivalent work experience

• 5 years ofprogressive and directexperience in compliance risk managementauditor regulatory program management within a regulated industry (financial services preferred)

• Strong understanding of Compliance Management System (CMS) concepts and regulatory expectations

• Demonstrated experience managing compliance documentation data and reporting in SharePoint or similar platforms

• Advancedproficiencyin Excel(e.g. pivot tables formulas data analysis)

• Experience coordinating cross-functional initiatives and managing multiple workstreams.

Licenses Certifications Registrations

• Professional certification in compliance riskauditor project management (e.g. CRCM CAMS CRISCPMP or equivalent) preferred

Knowledge & Skills

• Compliance program and project management

• Data organization reporting and analytics

• SharePoint site list anddocumentlibrary management

• Executive-level written and verbal communication

• Strong attention to detail and documentation discipline

• Ability to influence without direct authority

• Risk-based thinking and sound judgment

• Comfortable in a dynamic evolving regulatory environment

• Leadership and talent management skills

• Strategic thinking

• Problem solving skills

Leadership and Organization Development

This position plays a key role in:

• Strengtheningcompliancegovernanceand documentation discipline

• Improving cross-functional coordination between compliance business units audit riskmanagementand technology

• Supporting a culture of compliance awareness accountability and data-driven decision-making

• Enhancing organizational readiness for exams audits internal reviews

Scopeand Strategic Impact

The scope of this role includes:

• Oversight and coordination of multiple compliance program elements across businessuntisand functions

• Management of compliance data documentation and reporting used by senior management and governance committees

• Direct support of strategic initiatives related to program maturity scalability and regulatory readiness

• Contribution tolong termcompliance strategy byidentifyingtrends gaps and opportunities for improvement aligned with organizational objectives

Analytical Thinking & Problem Solving

• Usessubstantial intuition and experience to complement data.

• Gathers and analyzes information at an expert level.

• Manages the resolution of complex or unusual business problems.

• Applies analytical thinking problem identification and solving and decision making.

• Implementation of solutions requires a short tomedium termview.

Other Skills and Abilities

• Strong organizational analytical and leadership skills withabilityto manage multiple priorities.

PHYSICAL ABILITIES / WORKING CONDITIONS

Physical Demands

Ability to sit talk and hear consistently

Vision Requirements

Close vision (clear visionat 20 inches or less)

Distance vision (clear visionat 20 feet or more)

Color vision (ability toidentifyand distinguish colors)

Weight Lifted or Force Exerted

Ability tolift upto 10 poundsfrequentlyand up to 25 pounds occasionally

Environmental

There are no unusual environmental factors (such as a typical office)

Noise Environment

Moderate noise (business office with computers and printers light traffic)