Senior Risk & Compliance Advisor

Jobtailor; Arizona; On-site; USD 100,000 - 140,000; Full time

Job summary

Jobtailor in the United States (Arizona) seeks a seasoned Risk/Compliance professional to partner with the Line of Business, RCA teams, and management to build and maintain an effective risk management framework.

You will drive initiatives to ensure compliance with federal, state, and local laws, identify gaps and propose solutions to minimize losses from inadequate processes, and respond to regulatory inquiries while supporting ad hoc projects and reporting.

Qualifications

• Bachelor's degree or equivalent work experience
• Typically more than five years of applicable experience
• FINRA Series 7, Series 24 and Series 53 licenses are required
• Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Advanced understanding of the business line’s operations, products/services, systems, and associated risks/controls
• Thorough knowledge of Risk/Compliance/Audit competencies
• Strong analytical, process facilitation and project management skills
• Effective presentation, interpersonal, written and verbal communication skills
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
• Applicable professional certifications

Responsibilities

• Partner with assigned Line of Business, other RCA professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework
• Participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations
• Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
• Identify, respond and/or escrow risks as appropriate
• Serve as a functional liaison between the Line of Business and the Lines of Defense
• Respond to regulatory inquiries
• Review and resolve customer complaints
• Review potential policy violations
• Backup reporting and other team related tasks and ad hoc projects

Skills

Analytical skills

Process facilitation

Project management

Communication skills

Interpersonal skills

Education

Bachelor's degree

FINRA Series 7/24/53 licenses

Tools

Microsoft Office

Job description

Jobtailor in the United States (Arizona) seeks a seasoned Risk/Compliance professional to partner with the Line of Business, RCA teams, and management to build and maintain an effective risk management framework.

You will drive initiatives to ensure compliance with federal, state, and local laws, identify gaps and propose solutions to minimize losses from inadequate processes, and respond to regulatory inquiries while supporting ad hoc projects and reporting.