Compliance Principal | Hybrid
Allianz
- Minneapolis, MN
- Permanent
- Full-time
- Establishing and executing the Communication and Engagement protocols for the 3 distinct programs currently part of Regulatory Monitoring & Insights (Training & Communications, Regulatory Exam Management and Law Change Management;
- As part of the Monitoring & Insights program, design and execute reporting routines for company stakeholders at various levels of leadership to include the most senior level of leaders;
- Relationship Management responsibilities for company entities Legal, Ethics & Compliance relies on to execute its responsibilities such as the Communication Council;
- Own data structure routines requiring engagement with the data analytics team and data sciences to include writing of business requirements for the division;
- Responsible for Record Retention and Documentation Standards in Legal, Ethics & Compliance to include oversight of the division's procedure writing and publishing for internal use;
- Functional support of the Regulatory Monitoring & Insights Team to include Functional Playbooks, Business Reviews, Team Development Activities and other efforts in support of building an inclusive, positive environment
- Responsible for the development and execution of the Communications strategy for Legal, Ethics & Compliance to include decision making authority
- Manages relationships with internal and external customers and stakeholders, including regular interactions with senior business leaders.
- Industry participation: Contributes to industry leadership through articles and involvement at industry round-table events; maintains industry contacts.
- Identifies, researches and resolves complex issues independently.
- 8-10 years of experience in Compliance required related across multiple compliance disciplines and/or business lines.
- Four-year degree.
- Some responsibilities may require specific FINRA registrations or specific designations.
- Fully knowledgeable in specific aspects of compliance
- Can be seen as a senior resource within the company for scope of responsibility
- Strong collaborator
- Excellent verbal and written communication skills
- Proficient experience using all apps with the Microsolft365 suite
- Intellectual Curiosity
- Some knowledge about Agile
- Basic Project Management Skills
- General knowledge reading and interpreting graphs and other data points for purposes of providing a narrative about the information