Compliance Examiner
Core
Partner with Line of Business and Risk/Compliance/Audit professionals to create, implement, maintain, and oversee an effective risk management framework while ensuring compliance with federal, state, and local laws.
Role type
Compliance Examiner (Risk/Compliance)
Builds
Risk management frameworks and compliance processes for assigned Line of Business
Domain
Financial Services / Banking / Regulatory Compliance
Required skills
Risk management framework design, regulatory compliance analysis, gap identification, risk escalation, process improvement, project management, analytical skills, Microsoft Office proficiency
Preferred skills
FINRA Series 24 certification, knowledge of financial services laws and regulations, understanding of business line operations and associated risks, strong presentation and communication skills
Technologies
Microsoft Office (word processing, spreadsheets, databases, presentations)
Responsibilities
Create, implement, maintain, review, or oversee risk management frameworks; Participate in projects ensuring compliance with applicable laws; Identify gaps and inform solutions to minimize losses; Identify, respond to, and escalate risks; Serve as functional liaison between Line of Business and Lines of Defense; Identify trends and patterns to determine follow-up or escalation needs
Seniority
Mid-level, hands-on IC
