NABCRMP Corporate Member BNY Mellon is conducting a search for the following roles in risk and compliance:  

Senior Specialist, AML Transformation Compliance & Control

• Senior Specialist, AML Transformation Compliance & Control - BNYM External Career Site Careers (oraclecloud.com) 

Lead Analyst, Credit Risk

• Lead Analyst, Credit Risk - BNYM External Career Site Careers (oraclecloud.com) 

Senior Specialist, Compliance & Control (Monitoring & Testing)

• Senior Specialist, Compliance & Control (Monitoring & Testing) | Pittsburgh, PA, United States | BNY Mellon (eightfold.ai) 

 Please include #NABCRMP as your referral source. 

NABCRMP Corporate Member Aaron's is conducting a search for the following roles in risk and compliance:  

Sr Paralegal - Corporate Governance

• Sr Paralegal - Corporate Governance at Aaron's (aarons.com) 

Senior Director of Diversity and Inclusion

• Senior Director of Diversity and Inclusion at Aaron's (aarons.com) 

Senior Director of Talent Acquisition, Onboarding and Store Support Center Human Resources

• Senior Director of Talent Acquisition, Onboarding and Store Support Center Human Resources at Aaron's (aarons.com) 

Cust Ret Call Qual Analyst (Remote Southeast / East Coast Region)

• Cust Ret Call Qual Analyst (Remote Southeast / East Coast Region) at Aaron's (aarons.com) 

Compliance Analyst (remote)

• Compliance Analyst (remote) at Aaron's (aarons.com) 

 Please include #NABCRMP as your referral source. 

NABCRMP Corporate Member Target is conducting a search for the following role in risk and compliance:  

As a Sr Manager QA, you will:

• Manage the Quality Management System (QMS) Program and technology roadmap and provide strategic recommendations to Compliance leadership; lead the creation, modification, implementation and monitoring of global policies, procedures or system requirements for headquarters and field audiences and leverage business acumen and awareness to identify of low level QMS requirements or enterprise dependencies
• Provide dotted-line work direction and training to the global QA team, testing laboratories, vendors and factories, as well as ongoing support to HQ QA for continuous QMS improvements, backlog management and questions
• Serve as internal subject matter regulatory / claims expert and member of the Claims Council for the Essentials business, ensuring compliance with regulations and balancing internal and external risks against business objectives and guest needs; influence corporate claims management process through regulatory analysis, technical review, marketplace trend benchmarking, litigation findings, claims language review and method validation options; support risk and product claims evaluations and provide recommendations to key partners on proposed claims approach
• Provide technical support to QA Engineer team in order to assess and resolve product failures, testing concerns, inspection issues and guest feedback opportunities; lead protocol development and assessment and ensure testing incorporates appropriate regulatory, safety and performance elements on behalf of the enterprise; collaborate with QA Engineers on corrective action plan investigations and support litigation efforts, including potential deposition on QA process and technical product expertise
• Establish key internal and external relationships (including QA counterparts, Recall teams, Responsible Sourcing, Legal, Compliance, Product Development, Merch, Marketing and Guest Insights teams) in order to proactively communicate QA strategic direction, policy and intent; continuously promote the use of 6 Sigma, Lean and engineering tools to structure risk mitigation strategies and provide education and consultation to help partners develop quality, safety and regulatory processes that meet product expectations; act as a representative for Target and establish relationships with others in the industry via organizations such as RILA
• Consistently demonstrate behaviors aligned to Target’s values of Inclusivity, Connection, and Drive
• Other duties as assigned

About You:

• Bachelor’s degree in Engineering or other technical discipline (i.e., chemical, mechanical, material science, chemistry, biochemistry, quality management etc.) or the equivalent combination of education and experience
• 10 years of relevant experience within quality management or programs with at least 5 years of experience working directly with FDA regulations (OTC Drugs, Dietary Supplements, Medical Devices, Cosmetics)
• Technically proficient in quality, engineering, lean and 6 Sigma principles
• Strong communication and interpersonal skills with the ability to facilitate meetings, resolve conflict, build consensus, establish rapport and collaborate effectively across departments and externally
• Analytical and critical thinking skills with the ability to leverage data to influence decisions, identify risks and improvement opportunities, and distill complex issues into actionable plans
• Previous experience managing large scale projects; ability to work autonomously while managing multiple projects simultaneously, maintaining appropriate prioritization and ensuring adherence to deadlines

Preferred Requirements:

• Proficient in Target QA processes, including but not limited to vendor qualification, facility assessments, product inspections, product testing, protocol review and development, regulatory requirements, and guest complaint management
• Technically proficient in raw material characteristics, laboratory testing, claims management and manufacturing processes
• Able to interpret and translate statutes and legislation into compliance and quality programs
• Knowledge of the Code of Federal Regulations (CFR)

To learn more, and to apply please click the link below: 

 Sr Manager QA Essentials (FT Remote or Hybrid) at TARGET 

Please include #NABCRMP as your referral source.

NABCRMP Corporate Member Citi is conducting a search for the following role in risk and compliance:  

The function of the role is to coordinate Managers Control Assessment monitoring for CBNA CRO teams as well as develop their own team for support. Drives the development of new techniques and the improvement of processes and workflow for the areas of coverage; oversees the analysis of controls and monitoring tools designs and implementations; conducts the assessment of the effectiveness of controls around CBNA CRO assessment units’ activities; reports analysis findings and monitoring results to senior CBNA CRO managers and stakeholders.

Responsibilities:

• Applies in-depth disciplinary knowledge and integrates subject matter and industry expertise within defined areas.
• Demonstrates knowledge and comprehension of relevant CBNA CRO team policies, standards, and procedures
• Demonstrates subject matter expertise and application of GRC and MCA Standards and Procedures.
• Requires excellent analytical skills to filter, prioritize, and validate potentially complex and dynamic material from multiple sources.
• Evaluates complex and variable issues with substantial potential impact, where taking of an action/development of an approach, involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information.
• Analyzes modified/new risk rated activities, controls, or monitoring; provides thought leadership in continually reviewing processes and identifying improvements; develops enhancements to workflow management.
• Drives monitoring and testing methodologies across various controls over CBNA CRO Risk activities
• Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing, and reporting control issues with transparency.
• Proficiently utilizes applications to access information/data; develops analytics and reporting to track effectiveness of processes.
• Strong communication and diplomacy skills are required, influencing decisions through advice and counsel.
• Provides effective challenge; drives evidence backed results with clear rationales; succinctly documents extant issues and emerging risks; employs suitable medium to escalate to appropriate team(s)/staff.
• The primary contact for the Assessment Unit owners, his/her delegates, and the Risk GRC MCA liaison; proactively manages the engagement(s) by communicating and meeting frequently with stakeholders; facilitates and leads cross-functional meetings.
• Actively participates in quarterly close out calls, QRA, and ARA; demonstrates ability to clearly articulate methods, results and effectively defend position.
• Manages teams’ assigned portfolios, tasks, and responsibilities in accordance with defined testing and monitoring frequencies, and the relevant calendar/schedule; when necessary, assists team members in the execution/completion of their monitoring and testing assignments.
• Coaches and trains team of MCA Monitoring staff

Qualifications:

• 7+ years of relevant experience in banking or financial services industry.
• 5+ years of managerial, supervisory, and/or demonstrated leadership experience
• Prior MCA monitoring and testing work experience; experience with GRC MCA tools.
• Knowledge of Risk Policy, Standards, and Procedures as well as Risk applications.
• Project management experience.
• Self-motivated, self-starter.
• Demonstrates ability to work independently and manage assigned responsibilities and workload in an organized manner to a calendar-based schedule.
• Demonstrates ability to multi-task, change priorities, and remain focused on deliverables with variable deadlines; demonstrating a sense of urgency to bring tasks to closure.
• Consistently demonstrates strong analytical thinking, critical reasoning and problem-resolution skills.
• Recognized as execution and results oriented, with a strong attention to detail.
• Consistently demonstrates clear and concise written and verbal communication skills.
• Effectively synthesizes and communicates complex business issues to senior management and Risk stakeholders and business partners.
• Recognized as having strong interpersonal and relationship building skills; has a proven ability to work across functional teams and interact productively with all levels of staff within the organization.
• High level of proficiency in MS Excel skills, including: Sum or Count cells, based on criteria; Build a Pivot Table; Write a formula with absolute and relative references; Create a drop down list of options in a cell; Sort a list without corrupting the data; Use a formula to look up a value in a table; Filter unique items from a list; Create a chart from worksheet data; Apply conditional formatting that uses a formula; Insert and protect worksheets (and understand the limits of Excel's protection.) Macro capability a plus.
• High level of proficiency in MS PowerPoint skills to create/amend presentations.
• High level of proficiency in MS Outlook skills, including calendar management, Zoom conference scheduling and meeting management.

• Bachelor’s/University degree or equivalent; Master's degree preferred.

To learn more, and to apply please click the link below: 

Risk Policy Senior Officer I - SVP (myworkdayjobs.com) 

Please include #NABCRMP as your referral source.

GCM Grosvenor is conducting a search for the following role in risk and compliance:  Chief Compliance Officer (CCO) of Broker-Dealer

SUMMARY
The Compliance team is looking for a Chief Compliance Officer for the firm’s limited purpose broker-dealer who can also support the investment advisers’ compliance program. As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations. In depth knowledge of FINRA Rules, Anti-Money Laundering (AML), and Anti-Financial Crime (AFC) are necessary for the role.

RESPONSIBILITIES

The role will be involved in the following critical activities:

• Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, AML and AFC compliance.

• In covering broker-dealer compliance, manage the Firms’ FINRA Gateway filings (i.e., Forms BR, BD, U4s, U5, etc.), coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary.

• Manage all aspects of the Firm’s AML compliance program, as outlined in FINRA Rule 3310, including reviewing subscriptions, redemptions; maintenance of AML policies; conducting AML annual training; managing annual independent audit of AML program; reviewing alerts generated by screening system; filing AML reports as needed such as suspicious activity reports; monthly suppression of terrorism reports, and FinCEN 314(a).

• Lead efforts around employee personal trading compliance, including managing interns who generally handle employee trading statements.

• Be involved in Code of Ethics policy decisions, procedures, and program management.

• Work with various team and departments including Legal, Onboarding, Business Development, Relationship Management Support, and HR to identify and address regulatory risks.

• Work on enterprise compliance program for the entire alternative asset management platform with compliance partners.

• Assist with regulatory filings related to all affiliated investment advisers and foreign offices (ADV, PF, AIFMD, PQR, CTA, etc.).

EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTS

The ideal experience and critical competencies for the role include the following:

• Bachelor’s degree required. Other advanced degrees or certifications, such as ACAMS, are a plus.

• FINRA SIE, 7, 24, and 63 required for role as CCO Broker-Dealer, Series 99 is a plus.

• Seven to ten years of experience working in a legal or compliance related role within a financial services firm (broker-dealer, investment adviser, etc.) or at a reputable compliance consultant dealing with broker-dealer, investment advisor, and commodity pool matters.

• Understanding of regulatory and self-regulatory agencies (e.g., FINRA, SEC, CFTC, NFA, FSA) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933.

To learn more, and to apply please click the link below:

Job Application for Chief Compliance Officer (CCO) of Broker-Dealer at GCM Grosvenor (greenhouse.io) 

Please include #NABCRMP as your referral source.

NABCRMP Corporate Member Amazon is conducting a search for the following role in risk and compliance: 

Amazon Payments Risk and Compliance Services Team is seeking an experienced financial services Senior Compliance professional to support Amazon Payments, Inc. (“API”), a FinCEN registered money service business operating in multiple US state jurisdictions as a licensed money transmitter service. This role will focus on the further development of the API Compliance Risk Program given current and future business products and services.

The role will work with a cross-functional team of software developers, analysts, investigators, compliance and legal teams, driving Compliance Risk Management initiatives, balancing cost and customer experience objectives. The role will also be engaged in the management of examinations and audits of both external independent auditors and regulators with a focus on the AML/BSA Program.

Core Responsibilities:

• Contribute to and maintain the policies, procedures and risk assessments that support the Compliance Risk Management Framework.  Monitor for and respond to new regulatory developments and issues that may pose compliance risk; educate business partners and guide teams in the development of a risk-based and coordinated response.

• Collaborate on new product initiatives to understand the regulatory impact, define compliance requirements, and establish appropriate compliance policies and key controls to facilitate successful launch.

• Manage examination and external audit processes, ensuring timely and accurate response to inquiries.

• Prepare and present reports to senior management and governance boards with timely and actionable information.

• Promote a culture of compliance, proactively engaging with business and technology partners to educate them on compliance concerns, understand business objectives, and contribute to product design.
  

Basic Qualifications:

• BA/BS or equivalent
• 7-10 years of experience of compliance program management within traditional or non-traditional financial service firms.
• Exceptional written and verbal communication skills.
• Effective communication skills when translating complex regulatory and risk matters for consumption by technical and non-technical audiences.
• Relentless drive for results and a bias for action, even in ambiguous and fast-paced environments.
• Demonstrated ability to challenge the status-quo and champion best-in-class solutions and problem solving skills.
• Ability to execute projects requiring cross-organizational alignment and prioritization. 

Please click the link below to apply:   

Sr. Payments Compliance Manager - Job ID: 1469330 | Amazon.jobs 

Please include #NABCRMP as your referral source.