Overseeing compliance inspections for an investment management company. Supporting the development and maintenance of compliance processes and providing guidance on regulatory implications.
About the role
- Risk and Compliance Advisor Lead at USAA, focusing on payments risk management and compliance oversight. Leading complex initiatives and facilitating cross-functional teams to mitigate risks.
Responsibilities
- Routinely communicates results of risk assessments to governance committees, business process owners and various levels of leadership and influences decision making
- Develops processes and procedures for successful implementation of new risk policies, practices, appetites, and solutions to ensure holistic understanding and management of risks according to industry best practice
- Identifies and seeks key stakeholders across the enterprise to support the identification, assessment, aggregation and the overall management of risks and controls
- Crafts key communications related to risk and compliance insights to be delivered to executives and board members
- Executes compliance risk management activities in accordance with enterprise compliance standards
- Maintains and expands expert knowledge of the competitive/regulatory landscape and the company's key challenges
- Keeps abreast of the competitive/regulatory landscape and shares expert knowledge w/team members
- Coordinates and responds to regulatory requirements and requests and ensures the execution of examinations
- Applies expert knowledge to utilize or produce analytical material for discussions with cross functional teams to understand business objectives and influence solution strategies
- Leads, assembles, and facilitates cross-functional teams to identify, assess, aggregate, and mitigate current and emerging risk events
- Serves as the point of contact for senior risk leadership on projects and special management requests that often impact the enterprise or core operating area
- Formulates and reviews stress test plans for a line of business or the enterprise.
Requirements
- Bachelor’s degree or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree
- 8 or more years relevant experience in risk, compliance, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role
- Risk and compliance management experience in a complex institution and/or highly matrixed environment
- Expert knowledge of compliance laws, regulations, and regulatory expectations
- Demonstrated ability to apply expert knowledge of regulatory risk and compliance to consult and provide insights and guidance
- Demonstrated experience in conflict resolution management and ability to effectively challenge at all levels of management and influence business outcomes
- Experience leading and directing work with internal and external partners in a highly collaborative environment
- Demonstrated critical thinking and knowledge of data analysis tools and techniques and decision-making abilities, to include demonstrated ability to effectively make data-driven decisions
- Proactively identifies potential concerns and resolve issues
- Advanced proficiency with Microsoft Office products including Word, Excel, and PowerPoint.
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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