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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 maintaining 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 providing advice and guidance to employees/contractors and supervisors as to the requirements of the Outside Business Activities – Enterprise Policy and Associate Investment Policies as they relate to employee accounts, trading and private investments.  Specialists will also assist in the review and determination of employee outside business activity requests based on policy requirements. The role may also support other functions on the AIM team from time to time. 
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 the AIM EAC:
• 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 regulatory and audit actions are completed
• Escalate regulatory relations concerns to EAC C&OR Manager or Executive.

Required Skills:

  • Operational, risk, or conflicts review experience

  • Self-starter who is adept at problem solving

  • Data Interpretation

  • Strong written and verbal communication skills

  • Demonstrated ability to be effective in an execution oriented environment

  • Flexible and able to adapt to change

Desired Skills:

  • Securities knowledge

  • Series 7 License or SIE certification

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

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 maintaining 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 providing advice and guidance to employees/contractors and supervisors as to the requirements of the Outside Business Activities – Enterprise Policy and Associate Investment Policies as they relate to employee accounts, trading and private investments.  Specialists will also assist in the review and determination of employee outside business activity requests based on policy requirements. The role may also support other functions on the AIM team from time to time. 
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 the AIM EAC:
• 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 regulatory and audit actions are completed
• Escalate regulatory relations concerns to EAC C&OR Manager or Executive.

Required Skills:

  • Operational, risk, or conflicts review experience

  • Self-starter who is adept at problem solving

  • Data Interpretation

  • Strong written and verbal communication skills

  • Demonstrated ability to be effective in an execution oriented environment

  • Flexible and able to adapt to change

Desired Skills:

  • Securities knowledge

  • Series 7 License or SIE certification

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21043920

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Javier Flores

Referral Bonus:

0

Street Address

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