Compliance and Risk assessment
Job Requirements:
Responsibilities
o Support Compliance Assessments
o Risk Control Self-Assessment remediation
Timely Delivery of Documentation
Assist in Control Description exercise
Assist in Test Script enhancement
Assist in Control testing
o Core Compliance Risk Assessment related activities
o Support Monitoring, Testing and Training Activities
Perform reconciliation against the launched training
Assist in data collection and review of LRR monitoring
Assist in documentation collection for Americas Compliance Testing
o Support Compliance Governance & Reporting
Assemble data for Branch & CUSO Reporting
Assist in assembling and preparing Committee materials presentation
Assist in assembling KRI metrics
o Assemble data for Regulatory Affairs, Exams & Inquiries
o Based on changes in the business work environment, job responsibilities can change, and additional functions and tasks may be added or removed accordingly. Additionally, this position will perform other duties as required, and participate in special projects as deemed necessary and appropriate by Management.
Skills & Requirements
Education: Bachelor's degree
Experience: 5-7 years of experience in Financial Services, Compliance or Legal
Proficient in Microsoft Excel, Microsoft Word, and other Office products.
Excellent research skills
Strong writing and analytical skills
Strong organizational and time management skills
Detailed oriented, possess a high level of attention to detail and quality of work product
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