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Compliance QA/QC Policy Specialist

Charlotte, North Carolina;

Job Description:

The Compliance and Operational Risk Program Oversight Specialist is responsible for supporting the Global Risk Oversight and Quality Control ("GROQC") team in conducting end-to-end quality control ("QC") assessments of the implementation and execution of the Global Compliance Enterprise Policy, Operational Risk Enterprise Policy, and the Compliance and Operational Risk Management (“CORM”) Program to measure the adequacy and completeness of the respective control environment. The Specialist will assist with the:
- Identification of processes and related risks and controls.


- Determination of applicable policy and regulatory requirements related to activities.
- Adoption of processes and controls to comply with applicable laws, rules and regulations and their impact on relevant processes.
- Implementation and active management of procedures and controls to reflect policy requirements.
- Measurement, monitoring and reporting on the effectiveness of the control environment.
- Oversight of the mitigation of risks and remediation control gaps.

Specific responsibilities will include:
- Conduct assessments across Global Compliance and Operational Risk to drive the identification and remediation of issues, controls gaps and weaknesses to promote consistent and effective execution of the Global Compliance and Operational Risk Enterprise Policies and CORM Program.
- Create high quality reports and summaries of issues and mitigation plans and ensure appropriate escalations are delivered and approved.
- Understand Policy requirements, key performance drivers, business trends, and regulatory changes that define successful compliance and operational risk management.
- Gather data to formulate observations, findings and overall assessment ratings based on analysis and aggregation of QC results.
- Deliver QC assessment deliverables as prescribed by internal processes and procedures.
- Produce supporting documentation (e.g. work papers) for review by stakeholders, Corporate Audit and External Examiners.
 

Required skills:

- Minimum Years Business & Functional Experience: 5 Years
- Bachelor's Degree or equivalent experience
- Ability to communicate and influence with impact
- Strong analytical skills and ability to draw accurate conclusions and formulate solutions
- Ability to demonstrate strong business acumen
- Strong written and verbal communication skills
- Strong collaboration and relationship management skills
- Ability to work across functions and organizational lines/levels

Desired Skills:

- Process & Project Management

- Experience in process management, quality assurance, control measurement, testing or audit experience
- Existing understanding of Global Compliance and Operational Risk Enterprise Policies and CORM program elements

The Program Oversight Specialist executes Quality Control (“QC”) reviews designed to assess the execution of the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program.
This role engages with Corporate Compliance and Operational Risk (“CCOR”) policy owners and Global Compliance and Operational Risk (“GC&OR”) teams to understand program requirements and report QC findings to promote consistent and quality execution of the CORM Program.
The Program Oversight Specialist assesses execution of the CORM Program by aggregating data, formulating observations, maintaining supporting documentation, and drafting high quality reports and QC summaries for one or more of the following CORM elements:
• Risk Governance and Executive Reporting
• Training
• Policy Generation & Management
• Regulatory Inventory/Regulatory Change Management
• Identification and Reporting of Risk & Issues
• Risk Assessments
• Risk and Control Self-Assessment (“RCSA”)
• Quality Assurance
• Independent Monitoring
• Independent Testing
• Operational Loss Analysis
• Scenario Analysis
• Risk Metrics and Risk Appetite

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Compliance and Operational Risk Program Oversight Specialist is responsible for supporting the Global Risk Oversight and Quality Control ("GROQC") team in conducting end-to-end quality control ("QC") assessments of the implementation and execution of the Global Compliance Enterprise Policy, Operational Risk Enterprise Policy, and the Compliance and Operational Risk Management (“CORM”) Program to measure the adequacy and completeness of the respective control environment. The Specialist will assist with the:
- Identification of processes and related risks and controls.


- Determination of applicable policy and regulatory requirements related to activities.
- Adoption of processes and controls to comply with applicable laws, rules and regulations and their impact on relevant processes.
- Implementation and active management of procedures and controls to reflect policy requirements.
- Measurement, monitoring and reporting on the effectiveness of the control environment.
- Oversight of the mitigation of risks and remediation control gaps.

Specific responsibilities will include:
- Conduct assessments across Global Compliance and Operational Risk to drive the identification and remediation of issues, controls gaps and weaknesses to promote consistent and effective execution of the Global Compliance and Operational Risk Enterprise Policies and CORM Program.
- Create high quality reports and summaries of issues and mitigation plans and ensure appropriate escalations are delivered and approved.
- Understand Policy requirements, key performance drivers, business trends, and regulatory changes that define successful compliance and operational risk management.
- Gather data to formulate observations, findings and overall assessment ratings based on analysis and aggregation of QC results.
- Deliver QC assessment deliverables as prescribed by internal processes and procedures.
- Produce supporting documentation (e.g. work papers) for review by stakeholders, Corporate Audit and External Examiners.
 

Required skills:

- Minimum Years Business & Functional Experience: 5 Years
- Bachelor's Degree or equivalent experience
- Ability to communicate and influence with impact
- Strong analytical skills and ability to draw accurate conclusions and formulate solutions
- Ability to demonstrate strong business acumen
- Strong written and verbal communication skills
- Strong collaboration and relationship management skills
- Ability to work across functions and organizational lines/levels

Desired Skills:

- Process & Project Management

- Experience in process management, quality assurance, control measurement, testing or audit experience
- Existing understanding of Global Compliance and Operational Risk Enterprise Policies and CORM program elements

The Program Oversight Specialist executes Quality Control (“QC”) reviews designed to assess the execution of the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program.
This role engages with Corporate Compliance and Operational Risk (“CCOR”) policy owners and Global Compliance and Operational Risk (“GC&OR”) teams to understand program requirements and report QC findings to promote consistent and quality execution of the CORM Program.
The Program Oversight Specialist assesses execution of the CORM Program by aggregating data, formulating observations, maintaining supporting documentation, and drafting high quality reports and QC summaries for one or more of the following CORM elements:
• Risk Governance and Executive Reporting
• Training
• Policy Generation & Management
• Regulatory Inventory/Regulatory Change Management
• Identification and Reporting of Risk & Issues
• Risk Assessments
• Risk and Control Self-Assessment (“RCSA”)
• Quality Assurance
• Independent Monitoring
• Independent Testing
• Operational Loss Analysis
• Scenario Analysis
• Risk Metrics and Risk Appetite

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-22046196

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Pamela Salvato

Referral Bonus:

0