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Lead Associate - BCM Risk and Compliance

Keywords / Skills : Lead Associate , BCM Risk and Compliance, Risk Manager, Risk Analyst, Contract Compliance

2 - 5 years
Posted: 2019-09-01

Finance & Accounts
Software Engineer/ Programmer
Posted On
1st Sep 2019
Job Ref code
Job Description
Job Description:

- Proficient with control evaluation and the testing of Controls for various AML- regulations particularly with respect to BSA/AML/OFAC , SEC filings , FINRA compliance, Lending, Deposits, CRA, Fair Lending

- Conduct Risk Assessments of major business initiatives, new products and strategies to ensure appropriate controls are implemented

- Identify research, evaluate, and/or resolve Risk issues impacting the business including Sarbanes Oxley / Model Audit Rule.

- Strengthen the processes and controls per the leading practices while addressing the repeated issues as reported by the client’s Internal Audit department

- Ability to independently execute risk-based audits, including risk and control identification and controls testing, with an emphasis on Anti-Money Laundering (AML), Bank Secrecy Act (BSA) and Office of Foreign Assets Control (OFAC) regulations and SEC /FINRA governance processes.

- Participate in Internal Audit’s annual risk assessment and planning

- Document clear and concise workpapers according to IA department standards

- Draft reports to meet standard required for reporting to senior management

- Establish and maintain excellent relationships within the team and across the business

- Review and analyze processes for compliance with regulatory requirements including Sarbanes Oxley / Model Audit Rule.

- Apply operational risk management techniques including, but not limited to: Risk and Control Self-Assessment, Scenario Analysis, Loss Event Reporting, Model Risk Management, including validation.

- Proactively monitor and trend business processes.

- Travel up to 25% may be required based on client requests/commitments.

Skill Set:

- 2 - 5 years"rsquo work experience, preferably in the areas of Risk Management, Finance, Capital Management, or Investment Management
- Bachelor"rsquos degree in Finance, Accounting and / or Business Administration
- Professional Certification such as CIA, CPA , CMA , CA or FRM is preferred, but not required

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