Compliance Consultant 4 - Financial Crimes IT Testing

Location: St. Louis, MO, United States
Date Posted: 19-07-2018
Compliance Consultant 4 – WIM Testing and Validation (WFA and WIM Financial Crimes IT Testing)

Corporate Risk
  • Corporate Risk helps all company businesses identify and manage risk.
  • The team focuses on several key risk areas, including credit risk, operational risk, market risk, strategic risk, and compliance risk.

Corporate Risk strives to ensure that all company enterprise functions and lines of business (LOBs) soundly manage risk, comply with applicable laws and regulations, and offer products and services that meet the needs of our customers. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, Corporate Risk provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.


Wealth and Investment Management Testing and Validation
Wealth and Investment Management (WIM) provides a full range of personalized wealth management, investment and retirement products and services to clients across U.S.-based businesses.
 
We deliver financial planning, private banking, credit, investment management, and fiduciary services to high-net-worth and ultra-high-net-worth individuals and families. We also serve customers' brokerage needs, supply retirement and trust services to institutional clients, and provide investment management capabilities delivered to global institutional clients through separate accounts and the our Advantage Funds. The WIM Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation across all the WIM businesses.
 
Responsibilities:
  • Responsible for independently performing automated and IT dependent control testing to assure compliance with regulatory requirements and corporate policies across Wealth and Investment Management, including WF Advisors and WIM Financial Crimes.
  • These responsibilities will include the testing of critical automated processes and/or reports supporting adherence with the Enterprise Testing and Validation Standards.
  • This position will partner with business and application owners to assess automation risk and ensure system processes are well designed and operating effectively.
  • This position will also be responsible for managing and fulfilling ad hoc report requests for the WFA and WIM Financial Crimes Testing & Validation teams, as well as creating and maintaining the related SharePoint workspace.
 
Required Qualifications
  • 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or
  • 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both.

    **The only location for this role is St. Louis, MO**
 
Desired Qualifications 
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Strong organizational, multi-tasking, and prioritizing skills
  • SQL experience
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Experience creating, executing, and documenting compliance testing 
 
Other Desired Qualifications
  • BS/BA degree or higher in accounting or finance, or certification (CPA, CFP, CFA, CIA)
  • Advanced skills with Microsoft Excel including use of VBA macros
  • Prefer prior exposure to compliance and regulatory controls in a financial services environment.
  • Strong critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas
  • IT audit experience in the financial services industry
 For immediate consideration, please submit a recent resume in MS Word format in addition to a detailed cover letter with salary expectations.
 
 
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