Principal, Regulatory Compliance hos Finastra

What will you contribute?

Working as part of the Regulatory Compliance Team within the Global Risk Management organization, this role will play a key part in the success of meeting the company’s regulatory and compliance obligations. The Regulatory and Compliance Oversight Team is responsible for key components of the company’s corporate compliance program such as policy governance, compliance training, anti-bribery and corruption governance, investigations, and regulatory oversight. Working as part of a team of attorneys and compliance professionals, this role will help enhance and mature the company’s compliance program. We are looking for a team member to join the U.S. Regulatory Services team, which oversees the company’s regulatory relationship with U.S. federal regulators, the federal banking agencies (FBA), that have authority to supervise technology service providers.

Responsibilities & Deliverables:

  • Responsible for assisting in the successful coordinate of regulatory reviews, exams and visits. Specifically,
    • Reviewing regulatory exam requests
    • Working with internal stakeholders to coordinate responses
    • Conducting detailed reviews of responses
    • Holding meetings with stakeholders to review and prepare for exams
    • Develop status updates on exams
    • Monitoring and tracking for compliance to any examiner concerns requiring attention
  • In depth knowledge of U.S. Regulatory requirements for financial institutions,
  • Monitor and track relevant industry regulatory enforcement actions,
  • Provide regular update, and training where necessary, of significant enforcement actions and lessons learned in the industry,
  • Assist with other compliance-related projects and tasks as required.

Required Experience:

  • Bachelor’s of Arts or Sciences degree
  • At least 1-3 years of compliance experience, preferably with a global company
  • Demonstrated written and oral communication skills and the ability to present to various levels of audiences from peers to executives
  • Experience crafting high-quality presentations and reports, conveying complex topics to several levels of management
  • Knowledge and experience with supervision of technology service providers.
  • Ability to work both collaboratively and independently
  • Must be detail oriented and have a strategic mindset
  • Excellent analytical and problem-solving skills
  • Proficient in Microsoft Office Suite and virtual meeting technologies (e.g. TEAMS)

Preferred Experience/Skills:

  • Experience working in financial services and/or financial technology (FinTech) industries
  • JD strongly preferred (recent law graduates considered)
  • Professional certification, such as Certified Information System Auditor (CISA), Certified Internal Auditor (CIA) or other audit/ compliance-related certification
  • Technology Audit experience in a Public Accounting firm
  • Experience working directly with Management of a large international organization
  • Experience designing, implementing and working with data analysis and visualization tools, such as Power BI or Tableau and Expertise with Microsoft Excel and/or Word

The above statements describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential job functions. If you need assistance or an accommodation due to disability please contact your recruitment partner.

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