Compliance Testing & Policies Manager

New York, NY, United States

At BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your application!

What You Can Expect At BBH:

If you join BBH you will find a 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, take on new challenges, 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 emphasizing good health, financial security, and peace of mind. Ultimately we want you to have rewarding work with the flexibility to enjoy personal and family experiences at every career stage. Our BBH Cares program offers volunteer opportunities to give back to your community and help transform the lives of others.

Compliance Testing & Policies Manager

At Brown Brothers Harriman, we believe it is essential that all jobs focus on helping our clients. We value passionate, committed people who enjoy collaborating with others to find new solutions to complex business challenges. We are looking for the type of persons who speak their mind, truly listen and step outside their role to add value wherever they can. Someone who is driven to get things done and views obstacles as an exciting challenge that demands a creative solution. Above all, we seek employees who take great pride in their work and are inspired and motivated by their role in protecting and enhancing our clients' financial well-being.

If you are looking for an entrepreneurial environment where you can learn and thrive, Brown Brothers Harriman is the right place for you.

Join us as a Compliance Testing & Policies Manager

Brown Brothers Harriman (BBH) is currently recruiting a Compliance Testing & Policies Manager to join our Compliance team. In this role you will be responsible for planning and executing substantive testing to determine effectiveness of our internal controls. You will liaise with various senior members of the Compliance Department to help ensure the program is running effectively and meets industry practices for a diversified financial services company. The Compliance Testing & Technology Manager will work closely with the Compliance Monitoring Program (CMP) testers to foster consistency, efficiency and effectiveness and to ensure the testers understand their responsibilities and satisfy them and to share best practices and approaches.

In addition, ensuring that Compliance's activities follow the necessary rules and regulations by providing compliance support and expertise within established guidelines. Specific responsibilities include identifying and resolving problems in a timely fashion considering internal guidelines and outside regulatory requirements. The position operates independently as a trusted advisor to BBH's business lines and is involved with the most complex aspects of the function. The role will also include involvement in various projects and initiatives, preparation of Compliance senior management reporting, designing and implementing enhancements to Compliance functions, collection and analysis of data relating to the Compliance Program and assisting other members of the Compliance team as needed.

The position will also be responsible for ensuring that all policies and procedures and current and up to date. Working closely with Compliance officers, the position will analyze policies and procedures relative to current regulatory requirements and line of business practices. The position will be responsible for coordinating the annual review of policies and procedures by applicable business heads.

Some of your key responsibilities include:

* Maintain and enhance the CMP's policies, procedures and protocols to help ensure adherence to applicable regulatory rules, regulations and best practices

* Prepare detailed workpapers to support the results of the reviews

* Maintain and develop CMP coordination with other significant areas of BBH, including, Risk & Governance and Internal Audit

* Maintain, develop and/or enhance CMP management reporting and provide reporting to Senior Compliance Officers or Oversight Committees

* Responsible for executing the CMP testing according to deadlines and in coordination with the LOB and Internal Audit

* Lead CMP coordination for all Compliance Officers to help ensure the program is fully understood, running smoothly and all components of the program are working together

* Manage key CMP projects and help ensure related initiatives are effectively implemented.

* Provide advice on various core and regulatory compliance issues as needed

* Support and represent, as needed, Compliance management in firm wide projects and initiatives

* Work with Compliance management to identify new regulatory requirements that require changes to CMP testing plan or new policies and procedures

* Become the "owner" of all policies and procedures residing on the PolicyTech portal

* Lead annual policies and procedures review process.

* Serve in various administrative capacities for Compliance including scheduling of meetings, liaison with RG, OGC and Controllers

Qualifications:

* BS/BA degree or equivalent work experience required; JD preferred

* 10+ years of relevant work experience

* Prior experience in a large financial organization

* General familiarity with complex financial regulatory and legal issues and concepts

* Strong organization, analytical, written and verbal communication skills

* Fluency with Excel and SharePoint

* Exhibit functional Compliance expertise

* Knowledge of the securities industry and current regulatory requirements

* Capable of executing complex tasks and analysis

* Ability to work well with senior line of business managers

* Team player with experience in automating process and workflow preferred

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.

Salary Range

$100k-$140k base salary + annual bonus

BBH's compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH's total rewards package recognizes your contributions with more than just a paycheck-providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being.