Partner with assigned Line of Business, other Risk/Compliance/Audit professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework
Participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations
Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
Identify, respond and/or escalate risks as appropriate
Serve as a functional liaison between the Line of Business and the Lines of Defense
Requirements
Bachelor's degree, or equivalent work experience
Typically more than three years of applicable experience
Series 7 and 63 or 66 registrations required (Series 7, at minimum, must be held & active; others must be obtained within 180 days)
General understanding of compliance or supervisory issues preferred
Ability to make reasonable decisions in a timely manner
Ability to work in a dynamic fast-paced environment
Self-motivated to manage work independently and possess strong organizational skills to effectively prioritize throughout the day
Ability to build and maintain relationships with various individuals and areas throughout the firm
Collaboration and problem-solving skills
Identify trends and patterns to determine if follow-up or escalation is required to Compliance or additional process improvements are needed
Effective leadership of department efforts
Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Intermediate understanding of the business line’s operations, products/services, systems, and associated risks/controls
Thorough knowledge of Risk/Compliance/Audit competencies
Strong analytical, process facilitation and project management skills
Effective presentation, interpersonal, written and verbal communication skills
Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
Benefits
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
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