| Role Title | Sr. Compliance Consultant- AVP | JobID | JRA4478 |
| Role Type | Permanent | Date Posted | 09-03-2020 |
| Company Information | BIG 5 BANKING FIRM
(Consistently ranked as one of the best employers to work for) |
||
| Programme Information | Locations: Charlotte, NC and Minneapolis, MN. | ||
| Role Description | Corporate Risk helps all our businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.
Our compliance is the company’s compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Our compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise. Within our compliance, enterprise The Wealth Investment Management Testing & This position includes the following primary responsibilities: Lead, and as needed assist with the execution, of regulatory (MCR) and business process risk management (BPRM) testing programs to assure compliance with, policy, regulatory requirements and adhere to corporate T&V Standards Design test scripts and identify accurate and complete populations for testing Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls Evaluate and rate control design and performance Consult with business to effectively manage change in ensuring adequate corrective actions are in place to ensure regulatory and policy compliance Participate in quality reviews of review activity reports, work papers and supporting documents, and system data Take on additional special projects and responsibilities as needed Required Qualifications 6+ 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; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both Desired Qualifications Advanced 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 Ability to develop partnerships and collaborate with other business and functional areas Ability to take initiative and work independently with minimal supervision in a structured environment Ability to communicate effectively, in both written and verbal formats, with senior executive-level leaders Outstanding problem solving and decision making skills Ability to work effectively in virtual environment where key team members and partners are in various time zones and locations A BS/BA degree or higher in accounting, finance, or economics Other Desired Qualifications 3 + years experience in testing to evaluate the effectiveness of controls (may include audit, compliance, internal control, or other related testing) Knowledge of Employee Retirement Income Security (ERISA) and fiduciary regulations Certified Internal Auditor (CIA), Certified Retirement Services Professional (CRSP), Experience with SHRP, BIKE, and other operational risk applications Ability to quickly learn new systems, applications, and technologies Ability to identify issues, risk and escalate to the appropriate party Job Expectations Ability to travel up to 25% of the time |
||
| Education / Experience / Knowledge |
A BS/BA degree or higher in accounting, finance, or economics
CIA/CRSP/CFIRS/CSOP are preferred |
||
| Competencies | 6 + years of experience within a financial firm/CPA firm or Big-4 public accounting firm is preferred.
Experienced in Risk management (commerical, credit, market risk, IT risk) along with accountability for compliance or operational risk is highly preferred. |
||
| Characteristics | No relocation No visa sponsorship or transfer for this role |
||
| Security Clearance Required? (Y/N) | NO | Relocation Assistance Offered? (Y/N) | NO |
