Legal and Regulatory Compliance Advisor

Job Description

As a valued contributor to our Compliance and Ethics team, you will advise on risk monitoring and reviews for the organization, coordinate risk mitigation activities, and provide risk mitigation assistance to other groups.

We have one opening for this job and it can be worked on a Hybrid basis from our Washington, DC or Plano, TX offices.

THE IMPACT YOU WILL MAKE

The Legal and Regulatory Compliance Advisor role will offer you the flexibility to make each day your own, while working alongside people who care so that you can deliver on the following responsibilities:

• Lead activities independently to comply with FHFA’s Prior Approval for Enterprise Products Rule and produce deliverable-ready work products. Collaborate with Legal and Enterprise Risk Management to determine new activities, support employees submitting new activities to FHFA for approval, provide training and communication, monitor and report on status of new activity submissions, and support the New Product Rule Registry tool.
• Lead activities independently to oversee compliance with Insider Trading Policy preclearance, monitoring and testing requirements and produce deliverable-ready work products.  Identify applicable groups of employees, determine restricted securities list, review trade preclearance requests, disposition potential cases, manage StarCompliance tool, provide training and communication, and manage reporting.
• Advise on and lead strategic projects independently. Demonstrate innovative thinking to redesign processes, solve issues, or conduct analyses unconstrained by current process structure.
• Review and edit deliverables of other team members prior to management review.
• Provide guidance and support to team members on projects.
• Demonstrate executive writing skills and produce deliverable-ready work products.
• Collaborate with team to evaluate and advise on the impact of compliance risks to the enterprise.
• Work with people with different functional expertise respectfully and cooperatively towards a common goal.
• Create, author and maintain governance documents for new processes; provide direction on substantive changes to existing governance documents. 
• Present to senior management or regulator with limited guidance.

Qualifications

THE EXPERIENCE YOU BRING TO THE TEAM

Minimum Required Experiences

• 6 years of related operational compliance experience such as evaluating and completing regulatory submissions based on rule requirements and managing insider trading compliance program operations and/or experience in compliance oversight and monitoring.
• Excellent writing and communication skills. Ability to present to colleagues, senior management and regulators.
• Experience in gathering accurate information to explain concepts and answer critical questions.
• Experience in conducting analysis, evaluating controls, monitoring, identifying control gaps, and remediating issues.
• Ability to complete projects efficiently with high attention to detail and excellent time management skills.
• Ability to effectively manage and engage stakeholders and build relationship networks.
• Experience in creating reports using tools including Excel, PowerPoint or Tableau.

Desired Experiences

• 10 years of related experience.
• Bachelor’s degree or equivalent.
• Strong influencing skills to include negotiating, persuading others, facilitating meetings, and resolving conflict.
• Skilled in creating visual concepts, creating and editing content to communicate ideas.
• Prior experience in creating policy documents, evaluating compliance, managing and mitigating risk.