Risk Monitoring Analyst at FINRA conducting risk assessments and mentoring regulatory professionals to maintain market integrity. Collaborating on strategic initiatives that protect investors.
About the role
- TPRM Assistant Vice President executing Third Party Risk Management policies in the Americas. Ensuring compliance with regulations and managing risk assessments for third-party engagements in a leading financial group.
Responsibilities
- Ensures that all Third-Party Risk Management (TPRM) Policies & Procedures are adhered to in the execution of the program throughout the full TPRM Lifecycle
- Interface with second line of defense (SLOD) review and challenge and Internal Audit
- Responsible for addressing, documenting and escalating Trigger Events for their assigned Engagements
- Support preparation of TPRM portfolio and third-party performance for Risk and Management Committees, as required
- Provides input into the TPRM Policy and System enhancements
- Responsible for ensuring that the phases of the Third-Party Lifecycle are completed
- Consults with the relevant Subject Matter Experts and acts as single point-of-contact for Third Party’s completion of risk-driven questions and/or documentation requests
- Responsible for ensuring issues and risks are appropriately remediated or escalation protocols are followed
- Responsible for the proper termination of activities within the TPRM Lifecycle
- Consults with the Service Requestors throughout the phases of Third-Party Relationship Lifecycle
- Responsible for quality of documentation in FLoD and TPRM systems
- Responsible for providing support for risk assessments for engagements under the Third-Party Portfolio
- Responsible for information sharing about the Third Party to other TPMs and SRs, as necessary
- Awareness of corporate insurance requirements for third parties
- Compliance with applicable rules and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC, FFIEC, FINRA; in addition to other U.S. regulators (e.g., NY Department of Financial Serivices), and foreign-based regulators (e.g., Japan's Financial Services Agency, Canada's Superintendent of Financial Instiatuions, and those in Latin American).
Requirements
- Bachelor’s degree required
- 3+ years Third Party Management experience
- Basic understanding of the financial services industry
- Basic understanding of Operational Risk Management Programs and frameworks
- Experience managing Third-Party relationships
- Knowledge of regulatory bodies governing financial services
- Strong analytical mindset, able to manage risks both at the micro and macro levels
- Ability to identify issues and work them to closure, including remediation and escalation where appropriate
- Strong communication skills and ability to create effective level appropriate executive presentations
- Discretion and diplomacy when dealing with sensitive issues
- Desire and talent for building and maintaining relationships
- A commitment to protect the bank from all risk exposure
- Experience working across a diverse set of stakeholders with positive results
- Advanced experience with MS Office, Archer, Ariba, and Teams is preferred.
Benefits
- comprehensive health and wellness benefits
- retirement plans
- educational assistance
- training programs
- income replacement for qualified employees with disabilities
- paid maternity and parental bonding leave
- paid vacation
- sick days
- holidays
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