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Charlotte, NC Full Time Posted: Wednesday, 15 May 2019
 
 
Job Description

At Employer, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Employer. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family Legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

The Wealth Management, Abbot Downing and Employer Investment Institute Control team has a new opportunity for an experienced Operational Risk Consultant (ORC). As part of a team, this Operational Risk Consultant 3 will play a significant role in executing and administering the Frontline Self Assurance (FLSA) program for the Wealth Management, Abbot Downing and Employer Investment Institute business lines. This individual will perform monitoring and validation reviews to ensure the business line self-assurance activities (SAAs) are designed and executed in adherence with the governing WIM Frontline Self Assurance (FLSA) Program and the overarching Employer Self Assurance Activities Policy and assist in the oversight and maintenance of a central inventory of Wealth Management, Abbot Downing and Employer Investment Institute SAAs, including developing and executing change management protocols. As a result, this role will interact and work cross-functionally with teams Embedded in the underlying Wealth Management, Abbot Downing and Employer Investment Institute business lines and also serve as the central point of contact between the business lines and the WIM FLSA Program office. Additionally, this individual will assist in designing and conducting monthly performance reporting that reflects the results of self-assurance activities executed throughout the underlying businesses.

The Operational Risk Consultant 3 is a collaborative individual contributor role.

The Consultant will initiate action and help manage multiple concurrent deliverables without sacrificing quality or deadlines. Specifically, the Consultant will:

  • Serve as liaison between business line partners responsible for managing SAA programs and/or executing SAA processes and the WIM FLSA Program
  • Provide SAA subject-matter expertise to underlying business lines and ensure LOB activities are in compliance with governing requirements
  • Ensure triggers for SAA development or enhancements/revisions are integrated with the control team activities and executed appropriately
  • Develop and execute effective oversight monitoring routines for SAA results reviews and SAA activity reports/results; escalate defects or significant trends
  • Monitor business line SAA implementation and/or SAA remediation activities and consult with the WIM FLSA Program on the effective design and execution of SAAs
  • Assist with the development and execution of key metrics and program performance reporting
  • Facilitate and obtain periodic attestations by the SAA owners within the business confirming compliance with Policy requirements; as well as completeness and accuracy of the SAA inventory
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

  • Intermediate 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
  • Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, LiveMeeting and SharePoint) 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
  • Solid critical thinking skills
  • Knowledge and understanding of financial services industry: compliance, risk management, or audit operations
  • Experience creating, executing, and documenting compliance testing
  • Ability to articulate complex concepts in a clear manner
  • Knowledge and understanding of audit, regulatory compliance, or risk management
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Experience creating reports in response to management, audit, or regulatory requirements
  • Strong organizational, multi-tasking, and prioritizing skills

Other Desired Qualifications
  • Experience developing, implementing and monitoring/maintaining a risk-based program to assure compliance with governing requirements or providing oversight to a risk program function
  • Strong technical knowledge of risk management frameworks and principles, internal control design objectives, audit/testing/quality assurance methodologies
  • Experience working in or closely with Wealth and Investment Management lines of business and the ability to demonstrate working knowledge of related products/services, key processes/systems, and organizational structure
  • Strong project management and execution skills, including the ability to manage multiple engagements simultaneously while delivering all commitments on time and with high quality
  • Experience implementing the Self Assurance Activities Policy or designing, implementing, or executing self-assurance activities and/or testing programs
  • Ability to influence stakeholders in a collaborative environment without direct organizational authority
  • Demonstrated understanding of business processes and the ability to drive complex process mapping at the granular level
  • Ability to develop pertinent reporting and analytics to help in understanding and aiding in the development of solutions for complex risk and control issues
  • Ability to identify root cause of identified issues and evaluate potential mitigation plans
  • Advanced written and verbal presentation skills; ability to produce high quality deliverables
  • Experience developing and sustaining strong partnerships across constituent groups
  • Demonstrated adaptability in rapidly-changing environment
  • Experience with the Issues Management, Risk and Control Self-Assessment (RCSA) and Review Activities modules in Shared Risk Platform (SHRP)
  • Professional risk management designation preferred, eg CRCM, ACAMS, CIA plans
Disclaimer

All offers for employment with Employer are contingent upon the candidate having successfully completed a criminal background check. Employer will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Employer is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.


Charlotte, NC, United States of America
TMP Worldwide
NT3625_42669097
5/15/2019 6:45:06 AM

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