Compliance Risk Management
2 days ago
Job Family Group: Business Management
Deliver on components of the 1LOD testing plans for Wealth LOBs in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework:
Execute the 1LOD testing program for the Wealth LOBs and document results, outcomes as required.Understand Enterprise Compliance Program and Operational Non-Financial Risk methodology.Design and implement specific monitoring and testing procedures for each applicable area of review, which may include the development of new monitoring and testing scripts.Understand Wealth business processes across multiple entities across North America.Understand controls that support regulatory compliance and manage other sources of ONFR.Access and update the enterprise compliance book of record GRCE.Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, 2LOD Risk.Raise compliance and control-related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk. For issues identified, provide root cause analysis and recommendations to management.Identify opportunities to improve the effectiveness of testing.Act as a liaison and compliance support to various internal business partners across the Wealth Management businesses.Prepare reports and related test results dashboard for various stakeholders including management.7+ years’ experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.Excellent data analysis skills, organizational, analytical, and communication skills.Exhibit strong planning skills.Experience in the planning and execution of testing (e.g. li>Understanding of risk and controls.We’re here to help-
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