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Global Financial Crimes Specialist

Charlotte, North Carolina

Job Description:

The Global Financial Crimes (“GFC”) 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. This opening is specific to Global Financial Crimes Specialists who have in depth knowledge in markets operations, Hedge Funds, and Special Purpose Vehicles.

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

Required Skills:

• 5+ years of experience in Global Financial Crimes identification – specific to markets related activity, hedge funds, broker dealers, and/or special purpose vehicles

• Experience in building or maintaining Anti-Money Laundering detection routines and models

• Bachelor’s Degree or equivalent work experience

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 (“GFC”) 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. This opening is specific to Global Financial Crimes Specialists who have in depth knowledge in markets operations, Hedge Funds, and Special Purpose Vehicles.

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

Required Skills:

• 5+ years of experience in Global Financial Crimes identification – specific to markets related activity, hedge funds, broker dealers, and/or special purpose vehicles

• Experience in building or maintaining Anti-Money Laundering detection routines and models

• Bachelor’s Degree or equivalent work experience

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21048935

Band: H5

Manages People: No

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Laura Dillon

Referral Bonus:

0

Street Address

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