Key skills
Project ManagementRisk ManagementCommunication
About this role
Role Overview
- Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework.
- Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
- Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
- Identifies, responds and/or escalates risks as appropriate.
- Serves as a functional liaison between the Line of Business and the Lines of Defense.
- Review potential policy violations
- Review and resolution of customer complaints
- Back up reporting as well as other team related tasks.
Requirements
- Bachelor's degree, or equivalent work experience
- Typically more than three years of applicable experience
- Series 7, Series 24, and Series 63 or 66 are required. Also, Series 4 required and/or must be willing to obtain within 180 days
- 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
- Ability to adapt to a changing environment and handle multiple priorities
- Strong attention to detail & organizational skills
- Applicable professional certifications
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