girl looking into her desktop
Back to search results

Compliance and Operational Risk Specialist

Santiago, , Chile

Job Description:

Based in Chile, reporting to Nobramex (Latam except Brazil & Mexico) COR–Compliance and Operational Risk Manager.

The Compliance and Operational Risk Specialist is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit (“FLU”) and Control Function (“CF”) performance.  As a member of COR Team, the Compliance Specialist demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance and operational risks. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM - Compliance Risk Management Program objectives, balancing business strategy with appropriate controls.

This position will have special focus on broker dealer activities, to conduct second line of defense tasks such as: implementation of surveillance models and analysis of alerts, monitoring & testing and assessment of regulatory compliance.  

Responsibilities

  • Conduct compliance and operational risk assessments and targeted risk assessments.

  • Monitor and test the effectiveness of the FLU and CF compliance and operational risk controls.

  • Identify, discuss and escalate concerns, open issues and control enhancements on FLU and CF performance.

  • Regulatory change management: tracking, researching and analyzing new laws, rules and regulations.

  • Producing reports to meet Governance Routines in country, region and the US.

  • Responsible for conducting Surveillance activities: implementation of business surveillance models, review trending of surveillance alerts and incorporate results in discussion with business heads.  Conduct regular parameter reviews for surveillance models used by FX&LCT business. Coordinate with EIT – Enterprise Independing Testing development team on new surveillance and/ or test development, including preparation of test intake, test script and participation in UAT.

Core skills and requirements

  • 6 years of experience in related positions. 

  • Strong oral and written communication skills.

  • Fluent in English and Spanish.

  • Solid awareness of risks, controls and governance.

  • Knowledge on broker dealer related products and applicable regulations. Understanding on Santiago Stock Exchange systems is highly desirable. 

  • Ability to conduct risk analysis and similar activities within tight timeframes.

  • Ability to effectively build relationships with business partners in country and abroad.

  • Competent at multi-tasking, enjoys the challenge of a fast-paced work environment.

  • Strong sense of ownership and accountability for work.

Job Band:

H5

Shift: 

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Based in Chile, reporting to Nobramex (Latam except Brazil & Mexico) COR–Compliance and Operational Risk Manager.

The Compliance and Operational Risk Specialist is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit (“FLU”) and Control Function (“CF”) performance.  As a member of COR Team, the Compliance Specialist demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance and operational risks. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM - Compliance Risk Management Program objectives, balancing business strategy with appropriate controls.

This position will have special focus on broker dealer activities, to conduct second line of defense tasks such as: implementation of surveillance models and analysis of alerts, monitoring & testing and assessment of regulatory compliance.  

Responsibilities

  • Conduct compliance and operational risk assessments and targeted risk assessments.

  • Monitor and test the effectiveness of the FLU and CF compliance and operational risk controls.

  • Identify, discuss and escalate concerns, open issues and control enhancements on FLU and CF performance.

  • Regulatory change management: tracking, researching and analyzing new laws, rules and regulations.

  • Producing reports to meet Governance Routines in country, region and the US.

  • Responsible for conducting Surveillance activities: implementation of business surveillance models, review trending of surveillance alerts and incorporate results in discussion with business heads.  Conduct regular parameter reviews for surveillance models used by FX&LCT business. Coordinate with EIT – Enterprise Independing Testing development team on new surveillance and/ or test development, including preparation of test intake, test script and participation in UAT.

Core skills and requirements

  • 6 years of experience in related positions. 

  • Strong oral and written communication skills.

  • Fluent in English and Spanish.

  • Solid awareness of risks, controls and governance.

  • Knowledge on broker dealer related products and applicable regulations. Understanding on Santiago Stock Exchange systems is highly desirable. 

  • Ability to conduct risk analysis and similar activities within tight timeframes.

  • Ability to effectively build relationships with business partners in country and abroad.

  • Competent at multi-tasking, enjoys the challenge of a fast-paced work environment.

  • Strong sense of ownership and accountability for work.

Learn more about this role

Full time

JR-21051089

Band: H5

Manages People:

Manager:

Talent Acquisition Contact:

Yolisber Guerra

Referral Bonus:

0

Street Address

Primary Location:
AVENUE APOQUINDO 2827, Santiago, 7550105