Compliance Risk Assessment Senior Associate

Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.,Supports the management of the Compliance Risk Assessment framework to ensure applicable regulatory compliance risks and internal controls are identified and assessed.,Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, ensuring timely and quality completion.,Supports Oversight Functions with defining and logging regulatory issues and/or remedial action plans.,Supports the review of aggregated results, identifying methodology deviations, quality deficiencies, and potential points of challenge.,Supports program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team.,Assists with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework.,Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve) and banking products/services.,Applies a risk management/internal control mindset for risk identification and mitigation.,Provides Compliance research, evaluation, operational, reporting, and/or analytical support to internal Compliance partners.,Prepares and delivers summaries, communications, reports, and presentations for management, regulators, and other stakeholders.,Analyzes data and draws conclusions for program health reporting requirements.,Analyzes emerging trends pertaining to regulatory changes, reporting, or other departmental functions and provides recommendations.,Proactively identifies matters requiring additional review or escalation and liaises with appropriate staff to resolve issues.,Acts as the primary subject matter expert for certain Compliance Program elements, making decisions and escalating non-compliance.,Works independently as a senior analyst/subject matter expert and may coach and educate others.,Oversees and/or independently performs tasks from end to end.,Applies expert knowledge of business operations, products, services, methods, and operating standards to drive performance and provide training.,Executes on more complex and/or non-standard requests.,Researches and investigates operational/reporting/process issues, providing recommendations to senior management.,Recommends and implements solutions within own area of responsibility that impact departmental strategies and objectives.,Coordinates/integrates work with other areas as needed.,Provides advanced analysis and/or specialized reporting to support business partners and functional areas.,Represents the group as the lead or subject matter expert on projects/initiatives and/or at meetings.

Undergraduate degree or equivalent work experience,Minimum of 5 years of prior regulatory, compliance, and/or risk management experience,Familiarity with conducting a Compliance Risk Assessment (preferred),Experience working with top tier banks in large scale, cross-functional regulatory remediation,Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses

Undergraduate degree or equivalent work experience

Occasional domestic travel