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Netwealth - See Wealth Differently (ASX:NWL)Operations Governance Analyst
Operations Governance Analyst at Netwealth overseeing compliance, transaction monitoring, and internal stakeholder interaction for a brighter future in wealth management.
About the role
- Advise the business on how to strengthen and manage their control environment pertaining to oversight of procedures/process, accurate regulatory reporting and filing, document governance, Risk control self-assessments, procedure governance, control design, new product controls, CoSA Third Party Governance, or quality governance.
- Perform ongoing supervision and oversight of business controls which may include the coordination of testing, root cause analysis, control design, and examining key Risk metrics to evaluate the effectiveness of established business controls.
- Perform Risk data analysis, report preparation and trend analysis, utilizing business intelligence tools.
- Partner with business owners to assist them in the identification of control failures and assesses the impact.
- Assist with translating control deficiencies into action plans and facilitates effective and timely Risk remediation through action plan oversight; provide recommendations to enhance governance practices in alignment with Risk and compliance frameworks.
- Maintain processes, procedures, and tools for managing exception alerts as they occur, including monitoring of resulting exception cases.
- Provide control oversight to ensure compliance with laws and regulations.
- Serve as a resource to team members.
- Ensure risks associated with business activities are effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures.
Requirements
- Bachelor's degree: OR 4 years of related experience may be substituted in lieu of degree
- 4 years of experience supporting risk-related, compliance-related, or business control design activities; OR 4 years of experience in a relevant quantitative discipline; OR Advanced degree or designation in a risk management or quantitative discipline, and 2 years of experience supporting risk-related, and/or compliance-related, or business control design activities; OR PhD in a risk management or quantitative discipline
- Knowledge of federal laws, rules, regulations, and applicable guidance to area supported for example: OCC Heightened Standards, BSA/AML, REG E, UDAAP/UDAP, TILA/REG Z, SCRA, FCRA, MLA
Benefits
- comprehensive medical, dental and vision plans
- 401(k)
- pension
- life insurance
- parental benefits
- adoption assistance
- paid time off program with paid holidays plus 16 paid volunteer hours
- various wellness programs
- career path planning and continuing education
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