Chief Compliance Officer - Provider of Financial Services to Emerging and Mature Companies (Santa in San Jose, California For Sale
Maintain and enhance a global compliance risk management framework that incorporates risk assessment, control design, training, monitoring, testing, and reporting of compliance matters;
Champion a corporate culture in which staff views regulatory compliance as aligned with SVB s core values, and is regarded as a key objective in business decisions and process development;
Identify and implement best practices to ensure SVB remains in full compliance with all applicable regulatory requirements;
Escalate to the Board of Directors and senior management material compliance matters that could result in violations of law or lead to supervisory action; and
Serve as the primary internal resource for all issues relating to regulatory compliance requirements.
Specific Responsibilities
Contribute to the Risk Appetite Statement to ensure appropriate consideration of compliance issues and concerns
Populate a compliance framework that provides assurance that SVB meets regulatory requirements
Advise management on policy developments to address relevant compliance matters
Maintain and continuously update a database of all compliance requirements applicable to SVB, and the processes in place to ensure compliance
Ensure compliance risk controls exist in accordance with regulatory standards and policies
Oversee compliance staff and other significant resources and exercise strategic control over compliance planning and project management
Provide thought leadership on compliance issues and relevant industry trends
Define and implement a process for reporting to the Chief Risk Officer the status of regulatory compliance, including the details of any identified compliance issues and the corrective action taken
Ensure that compliance risks are owned and managed by accountable businesses
Participate in evaluating and introducing new products and business processes
Ensure that regulatory risks are owned and managed by an accountable business
Ensure compliance and operational risk controls exist in accordance with regulatory standards and policies
Assist in the selection and appointment of designated Compliance Officers within each business
Collaborate with the businesses to address corrective action and mitigate exposure
Provide advice and support to lines of business on interpretation of regulatory matters, compliance issues, and departmental training
Establish effective, collaborative relationships with other areas within SVB or external organizations
Play a key role in the risk/reward decision-making process of the Board Risk Committees
Participate in evaluating and introducing new products and business
Understand regulatory requirements and be aware of the economic environment and business practices that will affect the balance sheet and income statement
Skills and Requirements: Candidates must have a minimum of 10-15 years relevant experience as a senior compliance officer in a global organization.
Specific Requirements:
Strong understanding of compliance processes and activities common to a global bank and bank holding company
Ability to build effective relationships with a proven record of building trust and credibility through strong interpersonal skills, communications, and actions
Ability to negotiate effectively using diplomacy and tact to resolve difficult issues while maintaining a high degree of professionalism
Strong influence skills working both internally and externally at senior levels
Dedication to integrity, producing high quality results, and meeting deadlines
Excellent leadership skills demonstrated by ownership of issues through their resolution while providing sound guidance to others
Outstanding communication skills, both oral and written, and the ability to communicate clearly with constituents at all levels of the organization
Demonstrated decision-making capability under stressful situations while dealing with complex issues involving competing interests
Education
A bachelor s degree or equivalent is required and a master s degree or other advanced education is preferred.
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