As Senior Compliance Analyst you will be responsible for assisting in the management of the execution of the Investor Services Compliance Monitoring Program within the Investor Services Compliance Department. You will manage and enhance the Investor Services Compliance Monitoring Program (“CMP”) which includes, CMP Policies and Procedures, Compliance Risk Assessment (“CRA”) process, CMP Metrics, CMP issue tracking and reporting, CMP testing program, CMP coordination and training in coordination with the firmwide CMP Program. You will liaise with various senior and junior members of the Compliance Departments in the different Investor Services locations to help ensure the program is running effectively, meets industry practices for a diversified financial services company and meets local regulatory and legal requirements and expectations. You will work closely with the CMP testers in the U.S., Europe and Asia for BBH’s Investor Services line of business to foster consistency, efficiency and effectiveness and to ensure the testers understand their responsibilities and satisfy them and to share best practices and approaches.

If you are looking to push your career to the next level, introduce yourself by submitting your resume.

Key Responsibilities:

1. Policy, Procedure & Program Structure

• Maintain and enhance the Investor Services CMP’s policies, procedures and protocols to help ensure adherence to applicable regulatory rules, regulations and best practices, when applicable
• Ensure CMP is utlizing apropriate tools to effectively carry out Investor Services CRA and Compliance testing programs
• Maintain and develop Investor Services CMP coordination with other significant areas of BBH, includingService Delivery Risk Management and Internal Audit

   

2. Reporting & Project Management

• Maintain, develop and/or enhance Investor Services CMP management reporting and provide reporting to Co Heads of Investor Services Compliance and or relevant Oversight Committees
• Manage key CMP projects that support the maintenance and enhancement of the CMP
• Identify and lead initiative to strengthen risk management practices with BBH

   

3. Coordination & Training

• Responsible for managing the Investor Services CMP testing schedule according to deadlines and in coordination with the LOB and Internal Audit
• CMP trainer that can educate Compliance Officers on all aspects of the CMP, including, but not limited to, industry perspectives on testing topics, types of testing, risk rating, reporting, etc
• Review CMP testing reports and provide feedback to CMP issuing Compliance Team

4. Communications and Project Management

• Lead CMP coordination for all Investor Services CMP Compliance Officers to help ensure the program is fully understood, running smoothly and all components of the program are working together
• Manage key Investor Services CMP projects and help ensure related initiatives are effectively implemented.

Qualifications:

Education level and/or relevant experience

• BS/BA
• 7 to 10 years of work experience
• Audit, compliance examination and issue tracking experience required
• CMP or Audit program management and administration required

Knowledge and skills

• Proficiency in written and oral communication skills
• Knowledge of the banking industry, securities industry and current regulatory requirements
• Experience in the financial services industry, either working for another broker dealer, law firm, big 4 firm or regulator
• Ability to work well under timelines and project plans
• Ability to work well with junior and senior Compliance Officers
• Ability to work well with senior line of business managers

What You Can Expect At BBH:

If you join BBH you will find collaborative environment that enables you to step outside your role to add value wherever you can. You will have direct access to clients, information and experts across all business areas around the world. BBH will provide you with opportunities to grow your expertise, to take on new challenges, to maximize your potential and reinvent yourself—without leaving the firm. We encourage a culture of inclusion that values each employee’s unique perspective. We provide a high-quality benefits program, which emphasizes good health, financial security, and peace of mind. Ultimately, we want to provide you with a position which, at the same time, is both rewarding and allows for a balanced professional and personal experience at every stage of your career. We, here at BBH, focuses on more than just the financial and business thrive. Through our BBH Cares program we offer volunteering opportunities giving you the opportunity to give back to your community and to help transform the lives of others.