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Compliance Consultant III The candidate will conduct regulatory compliance testing from start to finish. Will validate the corrective actions taken by the line of business to resolve identified regulatory issues. Research and understand the regulatory risks that exist within specific business processes. Design and document regulatory compliance control testing scripts. Develop strategies to effectively sample the relevant population. Evaluate the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls. Identify issues resulting from conducting regulatory compliance examinations. Report findings and recommendations to senior management. Work with the line of business to understand the business processes and the controls that have been established to mitigate the risk. Provide credible challenge to line of business group regulatory compliance risk management activities. Build strong relationships and collaborate effectively across the Operations group, as well as with other line of business, Corporate Compliance, Legal, and Audit partners. Monitor and assess regulatory changes and impacts. Coordinate and support compliance risk assessments (SHRP, etc.). Should have 2+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both. Must have 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field. Intermediate Microsoft Office skills are desired. Excellent verbal, written, and interpersonal communication skills are needed. Knowledge and understanding of Hogan is needed. Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management is needed. Previous experience in audit, regulatory risk and/or legal is essential. Previous experience in compliance testing is needed. Advanced degree preferred (e.g., JD degree, MBA, etc.) is essential. CPA Certification is needed. Experience reviewing business process and identifying control gaps is needed. Experience developing and enhancing compliance programs are essential. Experience working effectively across business units to identify and mitigate risk is needed. Working knowledge of financial services-related regulations and expectations and other technology rules and regulations is essential.
Job ID: 5413194
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