Risk & Control Assessment – VP

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Provide subject matter expertise and work with CRA team to conduct compliance risk assessments of various U.S. entities, including client’s broker-dealer, swap dealer, and bank branches.
  • Lead meetings with business stakeholders to understand their products/services and related risks and controls. If necessary, work with business stakeholders to design action plans to address identified control gaps.
  • Assist CRA team in managing the CRA process, including ensuring stakeholders complete required tasks in a timely manner and that CRA team retains all required documentation.
  • Assist with the continuous enhancements to the design Compliance Risk Assessment (CRA) framework for the client.
  • Remain informed of regulatory changes and how they impact the CRA framework, including with respect to the completeness of the CRA’s risk scenarios or the level of inherent risk posed by client’s current activities.
  • Learn how to utilize newly implemented CRA technology solution and provide training to subject matter experts outside the CRA team who are required to use the tool.
  • Provide leadership and guidance to CRA stakeholders as to the methodology, technical aspects and interpreting results.
  • Develop risk dashboards designed to identifies the regulatory compliance risk profile on an ongoing basis.
  • Support the integration of the CRA results with the activities of the Compliance Department, including with respect to documenting key controls as well as driving monitoring and testing plans.
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