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EAC Compliance & Operational Risk Specialist

Charlotte, North Carolina

Job Description:

The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Specialist is an individual contributor member of an Enterprise Area of Coverage Compliance and Operational Risk team. This role is on the Associate Investment Monitoring (AIM) team and is responsible for providing enterprise-wide oversight of policies, processes, controls, laws, rules, and regulations that have enterprise-wide applicability, affecting every Front Line Unit and Control Function at the firm. The EAC C&OR Specialist is responsible for identifying, escalating and mitigating risks in a timely manner in alignment with the Compliance and Operational Risk Management (CORM) Program, the Global Compliance Enterprise Policy (GC Policy) and the Operational Risk Management – Enterprise Policy (ORM Policy). This role will have responsibility for identification of employees that requires coverage by one or more AIM policies based on laws/rules/regulations, and will facilitate the policy and disclosure certification processes for these employees. The role will also support other functions on the AIM team, including trade review and outside business activities, and will also be a key participant in the AIM System rebuild.  

The EAC C&OR Specialist is accountable for the requirements in the Global Compliance and Operational Risk Policies, and may assist periodically in any of the following activities for their respective area of coverage:

• Establish, monitor and report on enterprise risk tolerance metric(s) that are translated and connected to relevant business metrics (Key Risk Indicators)
• Update relevant policies to ensure they reflect regulatory requirements
• Conduct annual and targeted risk assessments
• Monitor and test the effectiveness of the front line units and control functions’ processes and controls
• Identify, aggregate, report and escalate compliance and operational risks, issues and control enhancements
• Assist with preparations for regulatory exams and audits
• Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed
• Escalate regulatory relations concerns to EAC C&OR Manager or Executive.

Required Skills:

  • 3+ years of compliance and/or operational risk experience
  • Excellent verbal communication skills, willingness to spend large part of the day responding to incoming calls

Desired Skills:

  • Any FINRA licenses, but preferably series 7 or 99

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-20012822

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Referral Bonus:

Street Address

Primary Location:
100 N TRYON ST, NC, Charlotte, 28255