"Alerted.org

Essential Duties and Responsibilities

+ Performs human resource management activities including identifying performance problems.

+ Manages department, associates, budget, reporting structure, and division of responsibilities within Compliance department.

+ Oversees the privacy impact assessments (PIAs), data subject requests (DSRs), privacy regulatory control framework, and core compliance pillar activities to identify, assess, mitigate and monitor data privacy risks.

+ Works with the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program.

+ Provides direction, counsel, and strategy for the U.S. Privacy program, including implementation of a robust governance program that includes company policies and processes covering sensitive information in accordance with global, federal, state and local laws.

+ Works with senior management to run the firm-wide Data Privacy & Protection Committee. Serves in a leadership role for the Privacy Oversight Committee’s activities.

+ Initiates, facilitates, and promotes activities to foster privacy awareness within the organization and related entities.

+ Manages the global training and awareness program, including ongoing live and computer-based training and awareness efforts.

+ Performs initial and periodic privacy risk assessments and conduct related ongoing compliance monitoring activities in coordination with the firm’s other compliance and operational assessment functions.

+ Implements processes that monitor and measure the effectiveness of the Global Privacy program in order to identify successes as well potential areas of privacy vulnerability, risks and areas for further improvement.

+ Responsible for developing mitigation plans for prioritized exposures.

+ Identifies key risk metrics relative to each significant risk, including limits and other key measures defining risk appetite.

+ Works with legal counsel, management, key departments, and committees to ensure the firm has and maintains appropriate privacy / confidentiality consent, authorization forms, privacy notices, etc.

+ Reports at least annually to Senior Leadership and the Audit / Risk Committee of the Board on the state of the Global Privacy program as well as reporting to other senior business and regional leadership on privacy initiatives.

+ Coordinates the privacy program with the IT security organization and related governance to confirm that all policies and processes are integrated across businesses and regions and all privacy and security issues are sufficiently addressed.

+ Updates and test data breach response plans.

+ Participates in the incident response process for privacy related events, including investigation and remediation.

+ Maintains current knowledge of applicable federal and state privacy laws.

+ Develops external contacts and participate in professional organizations that will provide benchmarks for the global privacy program and enhance the understanding of the external environment in order to anticipate new trends and developments in the privacy field.

+ Maintains industry knowledge of global privacy laws, company guidelines and policies, and industry best practices.

+ Executes PIAs on business changes that involve personal information.

+ Oversees privacy reviews and assessments.

+ Oversees privacy-related projects and initiatives with business and technology partners to translate privacy requirements into business requirements, conduct oversight and provide subject matter expertise.

+ Develops policies and procedures for identifying, reporting, and resolving privacy risks.

+ Develops privacy policies, standards, and procedures.

+ Oversees the privacy regulatory control framework.

+ Develops process improvements for risk management processes and procedures.

+ Documents and maintain a record of identified metrics to track privacy program effectiveness.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

+ Risk infrastructure.

+ Privacy risk management.

+ Relevant risk based regulatory schemes.

+ FINRA, SEC, FRB and other regulations relevant to management of privacy.

+ Compliance and legal procedures in the financial services industry.

+ Concepts, practices, and procedures of the financial services industry.

Advanced skill in:

+ Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

+ Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.

+ Project management skills and experience sufficient to successfully complete long and short-term projects.

+ Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

+ Author policies, procedures, and prepare reports for the Executive Committee, Board of Directors, and regulatory agencies as required.

+ Read, analyze, and interpret complex documents.

+ Respond effectively to the most sensitive inquiries or complaints.

+ Deliver persuasive speeches and presentations on controversial or complex topics to top management, public groups, and/or Board of Directors.

+ Understand the core technology strategies and risks.

+ Define problems, collect data, establish facts, and draw valid conclusions.

+ Communicate effectively, both orally and in writing, with internal and external clients at all levels.

+ Perform human resource management activities.

+ Plan, assign, monitor, review, evaluate and lead the work of others.

+ Coach and mentor others.

+ Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

+ Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Partner with other functional areas to accomplish objectives.

+ Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

+ Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

+ Minimum ten (10) years management experience within the financial services industry.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.