MASE Compliance - Compliance Advisor Manager
Core
Assessing regulatory alignment of logic in computer code (script) reviews and advising business on managing compliance risks stemming from scripts and models.
Role type
Senior IC compliance advisor manager (regulatory risk)
Builds
Compliance risk assessments and guidance for business units using scripts and models
Domain
Financial services / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory risk assessment, script logic review, compliance framework knowledge, stakeholder collaboration, emerging risk identification, validation reviews
Preferred skills
Law degree, CCRM, CAMS, CIPP, Series 7/24/63/65 certifications
Technologies
None explicitly stated
Responsibilities
Assess regulatory alignment of script logic, collaborate with business risk offices, engage with Tech and Data Risk Management, provide guidance on compliance requirements for code/scripts, assist in model risk assessments, identify emerging risk trends, respond to Internal Audit and Regulatory Examiner inquiries, conduct targeted script validations
Seniority
Manager, hands-on IC with strategic influence