Compliance Risk Management Intermediate Associate Analyst - Hybrid

Profile

Compliance Risk Management Intermediate Associate Analyst
The candidate will be serving as a compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. Engaging with the ICRM product and function coverage teams, in order to partner to develop and applying CRM program solutions that meet business and customer needs in a manner consistent with the firm program framework. Supporting the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM. Reviewing various materials to ensure compliance with various regulatory and legal requirements. Identifies potential risks and escalates for further review. Identifying potential risks and escalating for further review, as required. Creating and maintaining reports for control, tracking, and analysis purposes and ensures appropriate and secure retention of documents. Working with more senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence. Interacting and working with other areas within ICRM, as necessary. Coordinating and tracking policy, training, and other compliance risk management initiatives. Assisting in the preparation, editing and maintenance of Compliance program related materials. Bachelor’s degree or equivalent experience is required. Advanced degree (e.g. J.D., MBA) is preferred. Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination is required. Experience in a registration/licensing function of a broker/dealer and/or insurance agency is preferred.

Company info

Sign Up Now - EmploymentCrossing.com