Compliance Officer conducting onsite and remote branch examinations at Aviso Wealth. Join our dynamic team improving the financial well - being of Canadians through compliance oversight.
About the role
- Compliance Specialist managing business continuity and compliance testing for a fintech startup. Engaging with internal stakeholders and implementing a risk-based approach to compliance.
Responsibilities
- Establish and maintain business continuity oversight program and training in partnership with compliance leadership, business stakeholders and partner bank leadership
- Support the execution of the business impact assessment in partnership with business stakeholders
- Establish and enhance business continuity plan in consideration of critical business activities
- Monitor and facilitate the execution of business continuity testing and relative exercises with business stakeholders
- Coordinate with compliance and control partners to promote consistency in the application of the compliance program and best practices across the business
- Define test scope and scripts for assessment areas referenced within the annual testing schedule and business continuity plan, as applicable
- Perform control testing, document results and provide updates to the line of business, as necessary to ensure timely alignment with the annual testing schedule.
- Assist in managing issues identified within internal compliance testing and independent reviews that the business is subjected to
- Succinctly and clearly communicate complex fact patterns, underlying issues and recommended resolutions to others
- Execute necessary investigations and draft response for incoming complaints delivered through regulatory and BBB channels, as necessary
- Provide support for responding to regulatory inquiries and examinations
- Continuously determine and document risk exposure, mitigation and valuable controls related to new/ongoing processes, products/services and relative program documents/communications
- Other duties, as assigned
Requirements
- At least 5+ years of experience in audit, compliance, risk management or business continuity planning
- At least 5+ years of experience supporting, partnering and interacting with internal business stakeholders
- Experience translating complex ideas and data into clear, engaging narratives across multiple formats to key stakeholders
- Understanding of compliance or risk management principles and interest in strengthening subject matter expertise across multiple compliance areas.
- Ability to work independently on complex assignments with strong analytical skills, attention to detail, and the ability to interpret regulatory information
- Strong time management, organizational, and prioritization skills, with the ability to complete multiple concurrent tasks within close deadlines and a high degree of accuracy and detail
- Ability to navigate ambiguity in a fast-changing environment, being hands-on and going beyond direct job responsibilities to help achieve success
- Desire to be a reliable partner that collaborates with multiple business stakeholders across multiple lines of business
- Excellent research and communication skills
Benefits
- Positive, inclusive, supportive culture cheering you on your journey
- We work with very new technologies and architecture patterns
- We provide learning and development budgets to help you grow and bond with your team
- Able to work from the office 3+ days per week
- Offices in NYC, India, and Colombia
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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