Vacancy Details

Role Title Sr. Compliance Consultant- San Antonio JobID JRA436
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: San Antonio- TX
Role Description Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

Wealth and Investment Management (WIM) provides a full range of personalized wealth management, investment and retirement products and services to clients across U.S.-based businesses. We deliver financial planning, private banking, credit, investment management, and fiduciary services to high-net-worth and ultra-high-net-worth individuals and families. We also serve customers' brokerage needs, supply retirement and trust services to institutional clients, and provide investment management capabilities delivered to global institutional clients through separate accounts and our Advantage Funds.

WIM Testing & Validation

The WIM Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation on all the WIM businesses. This consolidated function provides independent assurance that risk programs and controls are operating effectively.

Specific duties for this position include, but are not limited to:

Implement the T&V COE methodology and standards, and execute group-specific testing.
Participate as a tester or co-lead on reviews of varied complexity and regulatory risk exposure. Identify and report issues, follow up on corrective actions to ensure regulatory compliance.

Exercise effective communications and promote positive client relations with business line team members and management.
Collaborate with teammates and facilitate an efficient and valued review process.
Thoroughly document and succinctly write test work summaries and compliance activity reports.
Know and effectively apply corporate regulatory compliance risk management policy and procedures.

Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed.
Keep abreast of regulatory changes and issues affecting compliance reviews.
May assist with special initiatives.

*Please note that this position does not offer license sponsorship


Required Qualifications

Total 4+ years of experience is 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

Desired Qualifications

Intermediate Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to interact with all levels of an organization

Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Experience creating, executing, and documenting compliance testing

Other Desired Qualifications

Audit or regulatory examination experience and knowledge of the laws, rules and regulations applicable to the WIM business preferred
Knowledge of corporate compliance policies, procedures and standards
CPA, CFP, CFA, CIA, or CRCM certification preferred
Education /
Experience /
Knowledge
Minimum BS/BA degree or higher in business or a related field
Competencies Audit or regulatory examination experience and knowledge of the laws, rules and regulations applicable to the WIM business preferred
Knowledge of corporate compliance policies, procedures and standards
CPA, CFP, CFA, CIA, or CRCM certification preferred
Characteristics No visa sponsorship for this role.
Security Clearance Required? (Y/N) NO Relocation Assistance Offered? (Y/N) NO