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Corporate - General Attorney in Phoenix, AZ

USAA Aug 24,2019 Jun 19,2019 Location USA Phoenix AZ
This job is expired...

In-House

Attorney

Corporate - General

Min 4 yrs required

Profile

Business Risk and Controls Advisor Senior- Policies and Governance The candidate role will partner and collaborate with Compliance and Risk Management, as well as Business Operations, IT, Audit Services, and Regulators to support risk and compliance based initiatives. Responsible for ensuring adherence to the governance of the established risk framework and ongoing supervision of business controls including risk and control self-assessments, identification and evaluation of control effectiveness, identifying control failures, facilitating risk and compliance remediation, market conduct exams, and monitoring the first line of defense in an effort to minimize risk exposures and strengthen the overall control environment. Leverages risk assessment data, and identifies key data-driven insights tied to first line of defense. Manages and drives solutions for stronger controls on behalf of the business, and in support of risk and/or regulatory compliance related initiatives which may include: oversight of procedures/process, accurate regulatory reporting and filing, document governance, risk control self-assessments, procedure governance, control design, or new product controls, supplier governance, or quality governance. Performs ongoing supervision and oversight of business controls and shares knowledge with team members to evaluate the effectiveness of established business controls. Serves as a first line of defense Subject Matter Expert in one or more key areas such as Governance Risk and Compliance data (GRC) data. Holds responsible for first line of defense data analysis, report preparation and trend analysis, utilizing business intelligence tools. Anticipates business needs and proactively identifies opportunities to improve and strengthen the control environment through actionable insights. Provides guidance in the execution of Risk Control Self-Assessments (RCSA's), translates control deficiencies into action plans and provides recommendations to enhance governance practices in alignment with risk and compliance frameworks. Partners with stakeholders to drive improvement efforts to correct or prevent unfavorable trends and assess the impacts. Facilitates, manages and oversees complex projects involving cross-functional areas in the first line of defense. Leads project team through concept, planning, execution, and implementation phases for effective and timely risk remediation. Advises senior management on the status of their control environment related to risk identification and control weaknesses. Identifies critical areas to monitor and escalates issues and findings to appropriate stakeholders. Develops and maintains processes, procedures and tools for managing exception alerts as they occur, including monitoring and management of resulting exception cases. Ensures adherence and compliance with regulations and controls by examining and proper documentation. Serves as a primary resource to less experienced team members and/or cross functional team members and advises on risk mitigation opportunities. Stays informed of changes to the regulatory environment to ensure proper compliance with processes and requirements are followed.

Qualification and Experience

The candidate should have Bachelor's Degree or 4 years of related experience beyond the minimum required may be substituted in lieu of a degree. Must have 6+ years operations experience in a relevant functional area to include financial services, insurance, banking, investment, information technology, public accounting or other related operational area that supports risk/compliance initiatives within the business. Advanced knowledge of relevant regulatory compliance, industry regulations and regulatory data sources required. Should preferably have Experience operating in large financial services firms or other highly regulated industries. Experience working with policy management systems and GRC tools (i.e. MetricStream) is desired. Advanced degree, MBA or J.D. is preferred. Experience developing and maintaining training programs and materials is desired. 4+ years project or program management experience in governance and policy experience is desired.

Additional info

Job ID R0034640

Company info