Summary:
Within Enterprise Compliance, this individual works within a team structure to support the monitoring system subject matter expert (SME). Taking direction from the SME, this individual will advance basic system features through their life cycle to implementation. The individual performs routine assignments to ensure the monitoring system is performing as expected. The individual will also perform a series of baseline analysis pertaining to system health and regulatory risks.
Primary duties & responsibilities:
- For the assigned monitoring and surveillance systems, engage in assigned project work to provide support to the subject matter expert of the respective system(s); participate in the discussions related to the creation, testing and implementation of system enhancements; provide value by assisting in the completion of miscellaneous intermediate/advanced projects required to improve the overall effectiveness of the system.
- Update system documentation, as well as compliance and supervisory manuals. Additionally, keep supervisory guidance reference materials current
- Perform various administrative tasks to support divisional monitoring systems
- Create and/or monitor reporting and dashboards to measure system effectiveness
- Provide baseline analysis to SME regarding areas of compliance risk
- Work with all subsidiary Chief Compliance Officers as well as department management to ensure appropriate controls are in place to facilitate compliance with the regulations.
- Participate as a resource on intermediate/advanced divisional project teams. As needed, independently lead a project team.
Knowledge, skills, & abilities:
- Bachelor's Degree preferred in business, finance or related and/or equivalent combination of education and work experience.
- Minimum of 2 years of relevant experience. Experience working at a financial firm preferred.
- Experience working with core product lines and compliance monitoring systems preferred.
- Ability to solve complex problems, take a new perspective on existing solutions and exercise judgement based on the analysis of multiple sources of information.
- Ability to explain difficult or sensitive information while working to build consensus.
- Ability to work with all levels of management within the field and home office.
- Excellent written and oral communication skills.
- Ability to generate and analyze baseline reports
#LI-Hybrid
Compensation Range:
Pay Range - Start:
$56,140.00
Pay Range - End:
$104,260.00
Geographic Specific Pay Structure:
175 - Structure 110 (Exempt): 61,740.00 USD - 114,660.00 USD 175 - Structure 115 (Exempt): 64,540.00 USD - 119,860.00 USD
We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
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