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Global Financial Crimes - Data Strategy

Charlotte, North Carolina

Job Description:

The Global Financial Crimes Specialist, under supervision, assists Global Financial Crimes executives and managers in any of the following activities in support of the identification, escalation and timely mitigation of compliance and operational risks in alignment with the Compliance and Operational Risk Management (“CORM”) Program, the Financial Crimes and Global Compliance -- Enterprise Policies ("GC Policy”), and the Enterprise Fraud Risk Management Standards.

The GFC Specialist assists in engaging other Compliance and Operational Risk (“C&OR”) officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The GFC Specialist also assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

Activities this role performs include, but are not limited to:

• Assists in the production of independent financial crimes risk management reporting to Global Compliance & Operational Risk (“GC&OR”) Senior Leaders and FLU/CF Senior Leaders via established governance and management routines
• Assists in the development and maintenance of financial crimes owned policies and standards and the review of relevant FLU/CF-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed
• Assists in the monitoring of changes in regulations applicable to GFC, including advising business leaders on those changes, directing the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed; ensures a comprehensive regulatory inventory
• Assists in the identification, aggregation, reporting, and escalation of the remediation and thematic analysis of FLU/CF-owned issues and control enhancements related to financial crimes
• Assists in the escalation of financial crimes related compliance and operational risks and issues to appropriate governance routines, management/board level committees
• Assists in the remediation of financial crimes related C&OR “owned” issues and control enhancements to ensure they are addressed appropriately and timely
• Contributes to risk coverage plans, executes independent risk monitoring, testing, and risk assessments, communicates results
• Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
• Supports Scenario Analysis activities for coverage areas and challenges as appropriate
• Assists with the development of risk metrics, monitors related performance and breach remediation

Global Financial Crimes - Data Strategy

  •  The candidate should have broad knowledge of financial markets and products, understand the content and assumptions underlying the data and is required to have a constant eye for data quality and consistency.
  •  The candidate should possess excellent quantitative/analytic skills and able to influence strategic direction, as well as develop tactical plans. Creates documentation for all activities and must be comfortable working with technology staff to assist in design and implementation of any solutions.
  •  The candidate must be able to come up with new ideas, plan a course of action, execute the plan in a reasonable amount of time, and deliver results in a thorough and organized presentation. 
  • Coordinate & help facilitate changes to AML processes/systems in compliance with Enterprise CDD policies and procedures
  • Understand, document, and verify data sourcing, quality and system interactions
  • Work with the technology to help drive the implementation of tools used in detection and monitoring of potential suspicious activities
  • •Research & respond to regulatory inquiries

Required Skills:

  • 5+ Years Business & Functional Experience
  • Bachelor’s degree or equivalent
  • Financial Services and/or related government entity experience
  • Must have strong problem solving skills
  • Have excellent quantitative/analytic skills
  • Proficient in Microsoft Office apps
  • Must be self-motivated and is comfortable and effective working with varying levels of guidance
  • Understanding of (or demonstrate an aptitude for) financial services and products
  • 3+ years SQL experience

Desired Skills:

  • Financial Services and/or related government entity

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Global Financial Crimes Specialist, under supervision, assists Global Financial Crimes executives and managers in any of the following activities in support of the identification, escalation and timely mitigation of compliance and operational risks in alignment with the Compliance and Operational Risk Management (“CORM”) Program, the Financial Crimes and Global Compliance -- Enterprise Policies ("GC Policy”), and the Enterprise Fraud Risk Management Standards.

The GFC Specialist assists in engaging other Compliance and Operational Risk (“C&OR”) officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The GFC Specialist also assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

Activities this role performs include, but are not limited to:

• Assists in the production of independent financial crimes risk management reporting to Global Compliance & Operational Risk (“GC&OR”) Senior Leaders and FLU/CF Senior Leaders via established governance and management routines
• Assists in the development and maintenance of financial crimes owned policies and standards and the review of relevant FLU/CF-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed
• Assists in the monitoring of changes in regulations applicable to GFC, including advising business leaders on those changes, directing the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed; ensures a comprehensive regulatory inventory
• Assists in the identification, aggregation, reporting, and escalation of the remediation and thematic analysis of FLU/CF-owned issues and control enhancements related to financial crimes
• Assists in the escalation of financial crimes related compliance and operational risks and issues to appropriate governance routines, management/board level committees
• Assists in the remediation of financial crimes related C&OR “owned” issues and control enhancements to ensure they are addressed appropriately and timely
• Contributes to risk coverage plans, executes independent risk monitoring, testing, and risk assessments, communicates results
• Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
• Supports Scenario Analysis activities for coverage areas and challenges as appropriate
• Assists with the development of risk metrics, monitors related performance and breach remediation

Global Financial Crimes - Data Strategy

  •  The candidate should have broad knowledge of financial markets and products, understand the content and assumptions underlying the data and is required to have a constant eye for data quality and consistency.
  •  The candidate should possess excellent quantitative/analytic skills and able to influence strategic direction, as well as develop tactical plans. Creates documentation for all activities and must be comfortable working with technology staff to assist in design and implementation of any solutions.
  •  The candidate must be able to come up with new ideas, plan a course of action, execute the plan in a reasonable amount of time, and deliver results in a thorough and organized presentation. 
  • Coordinate & help facilitate changes to AML processes/systems in compliance with Enterprise CDD policies and procedures
  • Understand, document, and verify data sourcing, quality and system interactions
  • Work with the technology to help drive the implementation of tools used in detection and monitoring of potential suspicious activities
  • •Research & respond to regulatory inquiries

Required Skills:

  • 5+ Years Business & Functional Experience
  • Bachelor’s degree or equivalent
  • Financial Services and/or related government entity experience
  • Must have strong problem solving skills
  • Have excellent quantitative/analytic skills
  • Proficient in Microsoft Office apps
  • Must be self-motivated and is comfortable and effective working with varying levels of guidance
  • Understanding of (or demonstrate an aptitude for) financial services and products
  • 3+ years SQL experience

Desired Skills:

  • Financial Services and/or related government entity

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21035877

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Aubrey Drake

Referral Bonus:

0

Street Address

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