MASE Compliance - Compliance Advisor Principal Associate
Core
Assessing compliance risk in computer code and scripts to ensure regulatory alignment and advising business lines on risk management.
Role type
Principal Associate compliance advisor (code/scripts)
Builds
Regulatory-aligned code scripts and governance standards
Domain
Financial services / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory risk assessment, code/script review, stakeholder collaboration, risk trend analysis, compliance framework knowledge, script governance
Preferred skills
Law degree, CIPM/CAMS certification, Series 7/24/63/65, advanced compliance experience
Technologies
Computer code, scripts, relational databases
Responsibilities
Review script logic for regulatory intent alignment, collaborate with business risk offices, engage with Tech Risk Management, advise lines of business on compliance requirements, assess model inherent risk, identify emerging risk trends, respond to Internal Audit and Regulatory Examiner inquiries, conduct targeted script validations, maintain compliance data and risk management consistency
Seniority
Principal, hands-on IC with strategic influence