Vacancy Details

Role Title Sr Compliance IT Testing(AML) JobID JRA445
Role Type Permanent Date Posted 13-07-2018
Company Information BIG 5 BANKING FIRM

(Consistently ranked as one of the best employers to work for)
Programme Information Location: St Louis, MO
Role Description We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

It all begins with outstanding talent. It all begins with you.

About us

We are a diversified, community-based financial services company with $2.0 trillion in assets. Our vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, We provide banking, investments, mortgage, and consumer and commercial finance through more than 8,300 locations, 13,000 ATMs, the internet and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy.

With approximately 263,000 team members, we serve one in three households in the United States.

We were top-ranked firm on Fortune’s 2017 rankings of America’s largest corporations. News, insights and perspective.

Corporate Risk

Corporate Risk helps all our businesses identify and manage risk. The team focuses on several key risk areas, including credit risk, operational risk, market risk, strategic risk, and compliance risk.

Corporate Risk strives to ensure that all our enterprise functions and lines of business (LOBs) soundly manage risk, comply with applicable laws and regulations, and offer products and services that meet the needs of our customers.

The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, Corporate Risk provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Enterprise Testing within our compliance, this group provides an independent oversight function within the second line of defense, establishing and maintaining a consolidated Enterprise
Testing function at the corporate level. They are responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews.

Testing and validation teams throughout corporate risk will be responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.

Responsibilities:

Responsible for performing risk-based compliance control testing to assure compliance with regulatory requirements and corporate policies applicable to the Wealth and Investment

Management businesses with a focus on key financial crimes requirements (i.e Anti-Money Laundering, Fraud Risks, etc.).

These responsibilities will include the creation and execution of test plans in adherence with the
Enterprise Testing and Validation Standards and will include usage of the our SHRP system. Works with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in business activities as well as developing corrective action plans for deficiencies. Report findings and draft recommendations to compliance risk and business line management.

Coordinate/leverage certain responsibilities and best practices with other brokerage departments (i.e. Internal Controls, Operational Risk) as well as other WIM compliance programs (i.e.

Wealth, Retirement, etc.). Produce periodic compliance performance reports (i.e. CAR Reports) for senior management.


Required Qualifications

4+ year of minimum experience required

2+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both

2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a

BS/BA degree or higher in business or a related field
CPA and CIA

Desired Qualifications

A BS/BA degree or higher in accounting, finance, or economics

2+ years of audit experience

Experience creating, executing, and documenting compliance testing

Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Certified Anti Money Laundering Specialist (CAMS)

Certified Internal Auditor (CIA)

Chartered Financial Analyst (CFA) or Certified
Public Accountant (CPA)

Ability to interact with all levels of an organization

Excellent verbal, written, and interpersonal communication skills

Intermediate Microsoft Office skills
Strong analytical skills with high attention to detail and accuracy

Other Desired Qualifications

Prefer prior exposure to compliance and regulatory controls in a financial services environment.

Strong analytical and critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas.

Knowledge of Banking Corporate Policies, Procedures and Standards
Education /
Experience /
Knowledge
Must have- BS/BA degree or higher in business or a related field

CPA and CIA
Competencies
Characteristics
No visa sponsorship for this role.
Security Clearance Required? (Y/N) NO Relocation Assistance Offered? (Y/N) NO