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Charlotte, NC Full Time Posted: Wednesday, 22 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.

Wealth and Investment Management Investment Contact Center Control team (ICC Control) performs frontline risk related support and control assurance activities for the centralized customer facing contact centers within WIM. The Investment Contact Centers provide sales and service support for Wealth Management, Retirement and Employer Advisors line of businesses and includes more than 1000+ team members in eight locations including off-shore.

Responsible for developing, implementing and monitoring risk-based programs to identify, assess and mitigate any operational risk that arises from inadequate or failed internal processes, people, systems or external events, while maintaining a balance between risk mitigation and operational efficiency. May provide oversight to an operational risk program. Works with complex business units and provides operational risk expertise and consulting for projects and initiatives with high risk. May provide systems security consulting on complex issues. Designs and develops testing strategies, methodologies and analyses; evaluates the adequacy and effectiveness of policies, procedures, processes, systems and internal controls; analyzes business and/or system changes to determine impact, identifies and assesses operational risk issues and assigns risk ratings consistent with established policy standards. Consults with business to develop corrective action plans and effectively manages change. Identifies training opportunities; designs/coordinates the development of training materials delivers or coordinates training delivery. Reports findings and develops business cases to influence senior management on the need for controls to mitigate risk. Manages and/or coordinates production of periodic operational risk performance reports for senior management, including trend analysis and recommended strategies. Manages project teams and may provide guidance to less experienced consultants. May directly manage 1-2 specialists/consultants.

This role within the WIM Control Team will provide issue remediation and corrective action implementation across the Investment Contact Center business group. The Operational Risk Consultant 5 will be responsible for escalating issues accordingly, tracking and managing past due issues, monitoring coming due issues, and validating corrective actions. Additionally, the Operational Risk Consultant 5 will provide issue and corrective action reporting and facilitate necessary training regarding issue management standards and remediation requirements. A background in issue management, audit and/or compliance as well as an understanding of key risks for contact centers are key to the success of this role. Strong communication skills are imperative. Candidates will have accountability for working to review and synthesize metrics and reporting as well as sharing information and trends with key business leaders.

Required Qualifications

  • 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both

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

Other Desired Qualifications

Experience with issue management standards and remediation requirements
Experience developing, evaluating, and validating corrective actions, preferably in WIM or areas focused on investments, fiduciary requirements, or banking
Experience with SHRP


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
5/22/2019 8:41:54 PM

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