Description
This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense compliance and operational risk oversight for Global Compliance and Operational Risk.
Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively the Policies ), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
Responsibilities :
Assists in assessing risks, associated controls and their effectiveness, while driving compliance with applicable laws, rules, and regulations, adhering to policies, and developing reporting and documentation
Engages in activities to provide support to the Compliance and Operational Risk teams in order to provide independent compliance and operational risk oversight of Global Compliance and Operational Risk performance and any related third party / vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
Assists in identifying and escalating problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and / or operational risk losses
Assists in the development of independent risk management reporting for respective area(s) of coverage as input into management routines
Assists in responding to regulatory inquiries and other audits and examinations
Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory
Ensures proper risk discipline, controls and culture are in place to identify, escalate and debate issues.
Skills :
Monitoring, Surveillance, and Testing
Process Management
Regulatory Compliance
Reporting
Risk Management
Attention to Detail
Critical Thinking
Interpret Relevant Laws, Rules, and Regulations
Issue Management
Policies, Procedures, and Guidelines Management
Active Listening
Advisory
Business Process Analysis
Written Communications
This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense compliance and operational risk oversight for a Front-Line Unit, Control Function, and / or Third Parties.
Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively the Policies ), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
Responsibilities :
Assists in assessing risks, associated controls and their effectiveness, while driving compliance with applicable laws, rules, and regulations, adhering to policies, and developing r porting and documentation
Engages in activities to provide support to the Compliance and Operational Risk teams in order to provide independent compliance and operational risk oversight of Front-Line Unit or Control Function performance and any related third party / vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy(collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
Assists in identifying and escalating problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and / or operational risk losses
Assists in the development of independent risk management reporting for respective area(s) of coverage as input into management routines
Assists in responding to regulatory inquiries and other audits and examinations
Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory
Required Skills :
5 Years of applicable industry experience
Bachelor’s Degree or equivalent experience
Desired Skills :
Knowledge of governance and reporting practices including escalation best practices and guidelines
Knowledge of issue management requirements
Ability to effectively review and challenge work done by the FLU / CF
Shift :
1st shift (United States of America)
Hours Per Week :
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