Compliance Consultant 3

Location: St. Louis, MO, United States
Date Posted: 01-09-2018
Corporate Risk

Corporate Risk helps all 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 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.

Enterprise Testing

Within this group provides an independent oversight function within the second line of defense, establishing and maintaining a consolidated Enterprise Testing function at the corporate level. They are responsible for developing a common methodology and standards, providing governance and oversight, executing testing and conducting horizontal reviews. Testing and validation teams throughout corporate risk will be responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.

  • Responsible for performing risk-based compliance control testing to assure compliance with regulatory requirements and corporate policies applicable to brokerage. These responsibilities will include the creating and execution of test plans in adherence with the Enterprise Testing and Validation Standards and will include usage of the SHRP system.
  • Works with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in business activities as well as developing corrective action plans for deficiencies.
  • Report findings and draft recommendations to compliance risk and business line management. Coordinate/leverage certain responsibilities and best practices with other brokerage departments (i.e. Internal Controls, Operational Risk) as well as other WIM compliance programs (i.e. Wealth, Retirement, etc.). Produce periodic compliance performance reports (i.e. CAR Reports) for senior management.
Required Qualifications 

• 2+ 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
• 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience or a BS/BA degree or higher in business or a related field

Desired Qualifications 
A BS/BA degree or higher in accounting, finance, or economics
2+ years of audit experience
• Experience creating, executing, and documenting compliance testing
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Certified Internal Auditor (CIA)
Chartered Financial Analyst (CFA) or Certified Public Accountant (CPA)
• Ability to interact with all levels of an organization
• Excellent verbal, written, and interpersonal communication skills
• Intermediate Microsoft Office skills
• Strong analytical skills with high attention to detail and accuracy
• 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.
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