Compliance Consultant

Discovery Solutions Published: September 20, 2017
Job Type


Compliance Consultant 3
This is a provider of banking, mortgage, investing, credit card, insurance, and consumer and commercial financial services.
DESCRIPTION: Responsible for performing risk-based compliance control testing to assure compliance with regulatory requirements and corporate policies applicable to brokerage. These responsibilities will include the support and/or testing for compliance of the Regulatory Compliance Risk Management Policy and Procedures and the Compliance Risk Analysis System (CRAS) Standards and will include usage of the [Company] CRAS+ system. Works with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in business activities as well as developing corrective action plans for deficiencies. Report findings and draft recommendations to compliance risk and business line management. Coordinate/leverage certain responsibilities and best practices with other brokerage departments (i.e. Internal Controls, Operational Risk) as well as other WBR compliance programs (i.e. Wealth, Retirement). Produce periodic compliance performance reports (i.e. CAR Reports, Operational Risk Profile Report) for senior management.
EXPERIENCE: : 2+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both
: 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience or a BS/BA degree or higher in business or a related field
: Intermediate Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to interact with all levels of an organization
A Masters of Business Administration (MBA), Chartered Financial Analyst (CFA), or comparable professional designation
Strong organizational, multi-tasking, and prioritizing skills
Prefer prior exposure to compliance and regulatory controls in a financial services environment
Strong analytical and critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas
Ability to work independently and on multiple initiatives concurrently is required.
Proven ability to consistently meet deadlines
EDUCATION: : BS/BA degree in Business or Related Field

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