Career Resources
Featured Job Postings
Featured Job Postings
Featured Job Postings
Each month NABCRMP highlights job opportunities in the various fields of interest to our members. Check out our latest featured job opportunities here.
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FEATURED JOB: B. Braun Medical Inc. compliance position
B. Braun Medical Inc. is conducting a search for the following role in risk and compliance:
EHS&S Security Manager
Position Summary:
The primary functions of this role are to provide security program management support to manufacturing, distribution and corporate personnel. Assists in the development and management of security programs concerned with the organization's employees, properties, facilities, physical assets, and informational technologies.
- Manages programs associated with access control and monitoring.
- Ensures compliance with applicable security standards.
- Conducts audits including asset threat assessments on physical and informational systems.
- Works with contracted security staff and internal teams to investigate accidents, theft or other losses, or allegations of illegal behavior. Selects and oversees external security contractors.
- Contributes to EHS&S strategic planning, direction and goal setting.
- Recommends policies, practices and procedures that have a significant impact on the organization.
Responsibilities: Essential Duties:
- Manages security programs concerned with the organization's employees, properties, facilities, physical assets, and informational technologies.
- Manages programs associated with access control and monitoring. Ensures compliance with applicable security standards.
- Conducts audits including asset threat assessments on physical and informational systems.
- Works with contracted security staff and internal teams to investigate accidents, theft or other losses, or allegations of illegal behavior. Selects and oversees external security contractors.
- Contributes to EHS&S strategic planning, direction and goal setting. Recommends policies, practices and procedures that have a significant impact on the organization.
The job function listed is not exhaustive and shall also include any responsibilities as assigned by the manager from time to time.
It shall be the duty of every employee while at work to take reasonable care for the safety and health of himself/herself and others.
Expertise: Knowledge & Skills
- Requires advanced knowledge of professional field and industry. Influences the development of and drives the application of principles, theories, concepts. Determines best course of action.
- Work under minimal supervision. Relies on experience and judgement to plan and accomplish assigned goals. May periodically assist in orienting, training, and/or reviewing the work of peers.
- Judgement is required in resolving complex problems based on experience.
- Represents the organization as a prime contact on projects and departmental operations. Interacts with senior internal and external personnel on issues often requiring coordination across organizational lines.
Qualifications
Expertise: Qualifications -Education/Experience/Training/Etc.
Required:
- Bachelor's degree required; Master's degree preferred.
- 08-10 years related experience required.
- Applicable industry/professional certification preferred.
- Regular and predictable attendance.
- Occasional business travel required, Ability to work non-standard schedule as needed.
To learn more, and to apply please click the link below:
Please include #NABCRMP as your referral source.
FEATURED JOB: jpmorgan chase compliance positions
NABCRMP Corporate Member JPMorgan Chase is conducting a search for the following roles in risk and compliance:
Investment Banking OIL & GAS - Sr. Associate
Credit Risk Controller - Vice President
CCB Risk- Strategic Analytics, Associate
Compliance Risk Management Lead - VP
Consumer Risk Execution & Controls - VP
Please include #NABCRMP as your referral source.
FEATURED JOB: target compliance positions
NABCRMP Corporate Member Target is conducting a search for the following roles in risk and compliance:
Lead Consultant, Compliance Governance
https://jobs.target.com/job/minneapolis/lead-consultant-compliance-governance/1118/29723084256
Lead Compliance Consultant, Privacy
Please include #NABCRMP as your referral source.
FEATURED JOB: fedex compliance position
FedEx is conducting a search for the following role in risk and compliance:
Compliance Specialist I-II
Job Summary
Supports legal and regulatory compliance by assisting with, implementing, administering, and monitoring regulatory and legal compliance-and policy-related programs, assessments, projects, internal customer training and related functions.
Essential Functions
- Assists with implementing, administering, and monitoring compliance-related programs, assessments, projects and related functions.
- Assists with developing, coordinating, and implementing compliance training of internal customers.
- Collaborates and cultivates relationships with Field personnel and other functional departments to promote and enhance corporate compliance objectives.
- Reviews documentation and/or other information submitted by, or otherwise relating to contracted service providers and other service providers to assess whether they are fulfilling all applicable compliance standards.
- Assists FedEx Ground (FXG) attorneys in reviewing compliance assessments, drafting recommended action plans, following-up on such action plans, and communicating assessment results and recommended action, as needed.
- Assists FXG attorneys in reviewing regulations, rulemakings, and draft legislation, creating recommendations for implementation of new and updated laws and regulations compliance plans, and communicating compliance results and recommended action, as needed.
- Assists with compliance trend analyses and makes recommendations for further action regarding short and long-term business and compliance objectives.
- Develops knowledge of current compliance best practices and industry standards to support company and department goals and objectives.
- Develops understanding of changes in legal, government and regulatory environment, and assists FXG attorneys in promoting company awareness of and compliance with such changes.
- Assists in the implementation and updating of the company’s compliance programs.
- Reviews compliance assessments, investigation reports, and risk assessments and assists in identifying areas of improvement based on standard operating procedures and established guidelines; communicates results and required remediation, as needed, for issues identified; performs trend analysis of same.
- Manages licensing programs for various regulatory schemes, including alcohol shipping, fuel, reasonable access, public utility commission requirements, and other corporate licensing requirements, as needed.
- Builds and maintains relationships with FedEx Enterprise and government agency contacts to assist in ensuring regulatory compliance requirements are met.
- Assists in implementing knowledge management processes.
- Collaborates with colleagues and business partners to develop process improvements (e.g., specifications, standards, project processes, including other department’s roles in those processes) that relate to compliance.
Minimum Education
- Associate degree in legal studies, Paralegal Certification or Associate’s in a related field required. In lieu of Associate’s degree, two (2) additional years of experience above the minimum will be considered equivalent.
- Bachelor’s degree in Business, Finance, Environmental Services, Pre-Law, or related degree preferred.
Minimum Experience
- Two (2) years experience required in compliance or related area.
Required Skills, Abilities and / or Licensure
- Software skills, including use of Microsoft Office software (SharePoint), data analytics tools, and web-based applications.
- Verbal and written communication skills necessary.
- Presentation skills necessary to facilitate training and/or deliver informational sessions to groups and/or individuals.
- Time management and organizational skills necessary to manage multiple projects, appropriately prioritize workload, plan for resources to meet deadlines and goals, and respond to day-to-day functional needs.
- Ability to analyze review, and make recommendations.
Other Job Description Information
This position will be domiciled in Pittsburgh with occasional time spent every month at the office in Moon Township. The selected candidate can choose to work remote or in the office at other times.
- Candidate should have exceptional organizational skills and the ability to adapt to often-changing regulatory environment.
- This role requires the ability to work independently as well as significant collaboration with business partners.
To learn more, and to apply please click the link below:
https://groundcareers.fedex.com/groundcareers/jobs/25736-544155?lang=en-us&previousLocale=en-US
Please include #NABCRMP as your referral source.
FEATURED JOB: office of the comptroller position
City of New York Office of the Comptroller is conducting a search for the following role in risk and compliance:
Compliance Officer
The Compliance Officer will work with the Chief Compliance Officer (CCO) to identify and implement policies and workflows to monitor regulatory compliance both within the Bureau and with the Systems’ external managers and consultants on issues relevant to the financial services industry.
Reporting directly to the CCO and working with the compliance staff, the Compliance Officer’s responsibilities include, but are not limited to:
- Working with BAM Investment Strategy and the Office of the General Counsel, perform comprehensive compliance-related operational due diligence and disclosure form review on all new and existing public and private market manager recommendations and investments.
- Assisting the CCO in performing a compliance review of presentation materials such as investment memos and presentations for NYC retirement systems’ Trustees and other external parties.
- Maintaining the Bureau’s Business Continuity and Disaster Recovery Plan and developing training and reporting to BAM’s senior leadership team.
- Evaluating ways to improve internal Compliance processes including but not limited to public market investment guideline monitoring, compliance training, and the annual ethics & compliance questionnaire for 300+ investment managers and consultants.
- Assisting the Chief Compliance Officer in maintaining the Agency’s Personal Trading Policy, including setting up electronic data feeds for multiple brokers.
- Researching and providing reporting to the Chief Compliance Officer on changes in regulatory rules and practices affecting investment firms who manage assets for the NYC retirement systems.
- Conducting ad hoc projects as required by the Chief Compliance Officer.
MINIMUM QUALIFICATION REQUIREMENTS
- A master’s degree from an accredited college or university with major studies in business, economics, finance, or a related field and three (3) or more years of progressively responsible experience in a financial services compliance role and/or carrying out compliance functions for a large and/or complex SEC registered investment advisor, broker/dealer, consulting firm, or in a related area; or,
- BS/BA degree from an accredited college with major studies in the fields mentioned above and five (5) or more years of progressively responsible professional experience as described above; or,
- Satisfactory equivalent of education and/or experience equivalent to "1" above.
PREFERRED SKILLS IN ADDITION TO MINIMUM QUALIFICATIONS
- Understanding of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940, specifically Rules 206(4)-7, 204A-1, and 206(4)-5.
- Proactive in identifying process deficiencies and compliance risks and presenting possible solutions.
- Practices a strong ethical code of conduct and commitment to a culture of compliance.
- Solid writing, communication and time management skills, can be adaptable and balance multiple assignments and department priorities.
- Ability to work both independently and collaboratively with teams.
- Working experience with Microsoft Office applications (Word, Excel, PowerPoint, Outlook, SharePoint, Teams).
To learn more, and to apply please click the link below:
https://comptroller.nyc.gov/wp-content/uploads/documents/Compliance-Officer-015-022-097.pdf
Please include #NABCRMP as your referral source.
FEATURED JOB: office of the comptroller position
City of New York Office of the Comptroller is conducting a search for the following role in risk and compliance:
Compliance Analyst
The Compliance Analyst will help to identify and implement policies and workflows to monitor regulatory compliance within the Bureau, as well as with the Systems’ external managers and consultants on issues relevant to the financial services industry. The department works to ensure investments comply with all relevant City, State and Federal law, the Systems’ investment guidelines, and asset allocation decisions made by the Systems and their Trustees.
Reporting directly to the Chief Compliance Officer and working with the compliance staff, the Compliance Analyst’s responsibilities include, but are not limited to:
- Working with BAM Investment Strategy and the Office of the General Counsel, perform comprehensive compliance-related operational due diligence and disclosure form review on all new and existing public and private market manager recommendations and investments.
- Assisting the compliance team to help resolve portfolio trades and investments that do not comply with investment policy statements and investment guidelines.
- Administering an annual compliance questionnaire to all investment managers and consultants, ensuring manger compliance with Trustee policy and regulatory requirements.
- Monitoring and creating monthly metrics for the Bureau’s 3rd party meeting tracker that ensures compliance with the Agency’s placement agent ban.
- Managing the oversight of the 3rd party political contributions platform; and,
- Conducting special projects as required by the Chief Compliance Officer.
MINIMUM QUALIFICATION REQUIREMENTS
- BA/BS degree from an accredited college or university with major studies in business or finance or a closely related field and two (2) or more years of progressively responsible experience in a compliance role with a large and/or complex registered investment advisor or broker/dealer, or in a related capacity; or
- Satisfactory education and/or experience equivalent to "1" above.
PREFERRED SKILLS IN ADDITION TO MINIMUM QUALIFICATIONS
- Clearly demonstrated substantial regulatory compliance experience in public and private investments, asset management or a related field.
- Basic knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940, specifically Rules 206(4)-7, 204A-1, and 206(4)-5 a plus.
- Strong time management skills, adaptable, with the ability to balance multiple assignments and department priorities, meet deadlines and manage changing priorities.
- Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion; principled and committed to a culture of compliance.
- Working knowledge of Microsoft Office Suite (Word, Excel, PowerPoint, Outlook, SharePoint, Teams) expected.
To learn more, and to apply please click the link below:
https://comptroller.nyc.gov/wp-content/uploads/documents/Compliance-Analyst-015-022-096.pdf
Please include #NABCRMP as your referral source.
FEATURED JOB: Empower compliance position
NABCRMP Corporate Partner Empower is conducting a search for the following role in risk and compliance:
Head of Corporate Compliance
The Head of Corporate Compliance is a strategic senior leadership position reporting directly to the Chief Compliance Officer. Primary responsibilities are to develop, implement and enhance the effectiveness of Empower’s compliance program to address known and potential regulatory risks, as well as strategically planning for the continued growth of the company’s compliance program.
The position will manage major functional areas of the Compliance Department including the Communication Compliance Review unit, Compliance Operations which includes licensing and registration, and the Compliance Audit and Testing unit. In addition, the position will work proactively to develop and implement new strategic projects needed to enhance the compliance function in areas such as issue tracking, training and communication and technology implementation.
The position will supervise a staff of 15-20 compliance professionals. This is a key role in the Compliance Department of a fast-moving and rapidly growing business enterprise.
What you will do:
- Work closely with business leaders and business unit-specific compliance staff to efficiently and effectively drive key processes that support Empower’s compliance program.
- Direct staff responsible for conducting audits and testing of business processes, required branch examinations and reviews of compliance department activities.
- Evaluate and analyze results and make recommendation to address the issues identified.
- Develop and implement a program for effective risk assessment of business and compliance activities and drive processes to proactively identify and address emerging risks to the company.
- Direct staff in Compliance Operations overseeing licensing, registration and other FINRA and state filings for 5,000+ registered representative and over 6,000 non-registered Empower employees.
- Maintain policies and procedures to determine licensing requirements for various business functions.
- Direct staff that reviews over 1,000 pieces of marketing materials per month to ensure compliance with regulatory requirements.
- Develop policies and compliance procedures for review of social media use, company branding, websites content and financial product performance reporting. Implement department-wide issue tracking method to effectively monitor remediation of outstanding control items.
- Design and implement a tracking process for coordination of company regulatory responses.
- Create and oversee preparation of periodic compliance reports for Board of Directors and other senior executive audiences.
- Partner with Great-West Lifeco (Empower’s Canadian parent company) on requests for specific Empower compliance related information and coordination of global initiatives.
- Develop and implement compliance training and communications directed to various channels including business staff and compliance personnel.
- Engage with various external industry groups to remain current with best practices and industry trends.
- Act as subject matter expert on behalf of Compliance related to initiatives in partnership with other areas of the company, including but not limited to, Legal, Risk Management, Internal Audit, Finance and Information Technology.
- Design and direct the oversight of a metrics program to monitor operation of the compliance function.
- Work with Chief Compliance Officer to develop resource plans and budget resources to ensure staffing support needs of the compliance organization.
- Develops and directs a high performing team of 15-20 compliance professionals through recruitment, training, coaching, performance management and related managerial activities with a focus on individual career growth and career pathing, as well as professional development.
What you will bring:
- Bachelor’s Degree required; advanced degree and/or industry designations desirable.
- 15+ financial services regulatory compliance experience.
- Working knowledge of major financial services regulatory requirements, including FINRA, SEC, state insurance and well as other regulators.
- Responsible experience in the retirement plan business a plus, but not required.
- Work experience with a state, federal or self-regulatory organization will be accepted in lieu of other qualifications.
- Ability to build relationships with senior internal executives as well as external industry leaders and regulators.
- Leadership experience developing and overseeing compliance staff.
What will set you apart:
- Superior judgment and ability to weigh risk and rewards.
- Skilled at strategy formulation and implementation.
- Ability to influence others in handling of large scale, complex projects.
- Experience managing change / transformation initiatives.
- Highly motivated, self-starter with strong work ethic.
- Strong written and verbal communications ability.
To learn more, and to apply please click the link below:
Please include #NABCRMP as your referral source.
FEATURED JOB: Digital Media Solutions® compliance position
Digital Media Solutions® is conducting a search for the following role in risk and compliance:
The Director HR Policy & Compliance will use their subject matter expertise to craft HR policies and ensure adherence with laws covering fair employment, immigration, I-9 and COVID compliance. This role will report to the Chief Human Resources Officer.
In This Role You Will:
- Design, implementation and communication of HR policies, working closely with the CHRO, HR team members and business stakeholders.
- Review and evaluation of the current HR policies for sufficiency and compliance.
- Partner with HR functional, Department leaders, and Legal counsel to review, develop, and improve various HR practices, and programs in compliance with federal, state, and local regulations and ethical standards.
- Responsible for presenting new or materially amended HR Policy documents to the CHRO and Policy Committee for review and approval.
- Build uniformity in classification and nomenclature of HR Policy and policy related documents.
- Serve as central point of contact to assess and deliver globally harmonized HR policies as appropriate.
- Responsible for employee handbook redrafts and edits.
- Engage and collaborate with various HR and legal stakeholders at all levels of the organization on HR policy design and development.
- Incorporate data and analytics to revise existing HR policies and to develop new HR Policies.
- Apply sound ethical judgment regarding personal behavior, conduct and business practices, and adhere to all policies.
- Other policy and/or compliance job-related duties may be assigned as required.
- Assist with delivering training to internal HR and Recruiting partners on current and new compliance-related processes and guidelines (i.e., equal employment, affirmative action, policy, selection process, applicants' disposition, pay equity, and legislative changes)
About you:
- College degree with 8+ years of relevant experience in HR Policy, Compliance and/or employment law.
- Proven track record in project management and successful delivery of complex projects.
- Understanding of business information needs and knowledge of how to translate them into reporting requirements and substantial decks, reports and/or analytics.
- Advanced knowledge of Excel, PowerPoint and Google Suite.
- Strong communication skills; confident in challenging and being challenged.
- Effective time management skills and confident working independently.
- A collaborative and positive team member with strong organizational skills.
- The ability to work well under tight time constraints.
- Strong attention to detail.
- Proven judgment and decision-making skills, even when the data is limited, unclear or questionable, and can quickly get to the heart of complex issues.
To learn more, and to apply please email:
Ayesha J. Whyte | awhyte@dmsgroup.com
Please include #NABCRMP as your referral source.
FEATURED JOB: wellington management compliance positions
NABCRMP Corporate Member Wellington Management is conducting a search for the following roles in risk and compliance:
Compliance Testing Officer
Senior Risk Analyst, Enterprise Risk Management
Compliance Analyst
Please include #NABCRMP as your referral source.
FEATURED JOB: td bank compliance positions
NABCRMP Corporate Member TD Bank is conducting a search for the following roles in risk and compliance:
Senior Compliance Business Oversight Analyst (US)- Loan Servicing
https://jobs.td.com/en/job/14157306/senior-compliance-business-oversight-analyst-us-mount-laurel-nj/
Compliance Manager
https://jobs.td.com/en/job/14237273/compliance-manager-wilmington-de/
Senior Compliance Governance & Operations Analyst (US)
https://jobs.td.com/en/job/14389047/senior-compliance-governance-operations-analyst-us-falmouth-me/
Compliance Business Oversight Manager (US)- Collections and Recovery
Senior Compliance Business Oversight Analyst (US) - Fair Banking
Senior Business Information Management Analyst (US)
https://jobs.td.com/en-CA/jobs/14990314/sr-business-information-mgmt-analyst-us-mount-laurel-nj/
Senior Compliance Business Oversight Analyst- Corporate Office Co (US)
Senior Compliance Governance & Operations Analyst (US)
https://jobs.td.com/en/job/14389047/senior-compliance-governance-operations-analyst-us-falmouth-me/
Please include #NABCRMP as your referral source.
FEATURED JOB: segall bryant & hamill compliance position
Segall Bryant & Hamill is conducting a search for the following role in risk and compliance:
Compliance Associate
Segall Bryant & Hamill is seeking a Compliance Associate to work within a team managing the oversight and monitoring of the firm’s compliance program. The ideal candidate will have had exposure to the securities laws, rules and regulations applicable to registered investment advisers and private fund offerings, in particular the Investment Advisers Act of 1940 and Investment Company Act of 1940. Additionally, the candidate must possess an understanding of the business operations and practices, procedures and controls specific to the business units supported. The candidate must be able to take ownership for the delivery of projects while also operating successfully in a cross-functional team environment. This position reports to the Senior Compliance Manager and has no direct reports.
General Responsibilities:
- Maintain, update, and oversee the compliance monitoring tools to aid in the adherence to client guidelines and the enforcement of the Code of Ethics and Compliance Manual.
- Monitor, review, and track soft dollar arrangements and invoices.
- Compile various data requirements for financial and regulatory reporting to various agencies.
- Work with the compliance team on review of regulations and make appropriate updates and recommendations to regulatory documents and policies and procedures.
- Prepare and assist in completing and reviewing periodic compliance and due diligence questionnaires.
Qualifications:
- Bachelor's Degree.
- 1-3 years of work experience in the financial services industry, preferably, investment/asset management.
- Strong writing and verbal communication skills.
- Must be thorough, detail-oriented, and function with a high degree of accuracy.
- Must be persistent, self-motivated, and able to function with a high degree of independence.
- Effective analytical abilities are required, including solid research skills and the ability to recommend solutions from that analysis.
- Ability to work on multiple projects while meeting competing deadlines.
- Demonstrated ability to work effectively with employees and outside parties at all organizational levels.
- Desire to keep abreast of best practices as well as evolving issues within scope of the position is required.
- Desire to further develop and foster strong interpersonal relationships and to maintain effective cross-functional teams.
- Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams).
Knowledge of the following software is a plus but not required:
- Advent Rules Manager, APX, and Moxy or other investment compliance and/or trading systems.
- Compliance personal trading software.
To learn more, and to apply please click the link below:
Please include #NABCRMP as your referral source.
FEATURED JOB: Viking Global compliance position
Viking Global is conducting a search for the following role in risk and compliance:
Legal and Compliance, Compliance Analyst
The Legal and Compliance Analyst will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of issues and initiatives, including:
- Key role in both the day-to-day administration of the firm’s compliance program and in the continuous effort to improve and adapt the compliance program in a rapidly changing regulatory environment.
- Monitor and understand regulatory, compliance and legal developments affecting the firm.
- Assist in the performance of forensic testing for compliance with the firm’s policies and procedures, incorporating technology and analytics where appropriate.
- Produce, organize and maintain compliance recordkeeping. Assist with regulatory filings in various jurisdictions globally.
- Perform due diligence of firm research providers, consultants, and counterparties.
- Help manage the process of periodically updating fund documents (offering memoranda, subscription agreements, etc.) as well as the management company’s compliance manual, code of ethics, investor due diligence documents, and the like.
- Knowledge management: manage the storage and rapid retrieval of the extensive legal analysis the firm’s attorneys have performed and the legal advice received from outside counsel.
QUALIFICATIONS
The ideal candidate will have:
- Bachelor’s degree from a highly regarded college or university; candidate should have accumulated an outstanding academic record.
- Candidate should not have a JD.
- Approximately two to four years of experience in an analytical role, such as broker-dealer compliance or risk-management, accounting, auditing, consulting, paralegal or other role involving detailed analysis and the management of large and complex aggregations of information.
The ideal candidate possesses the following traits:
- Top-flight analytical skills.
- Superior attention to detail, organizational and communication skills, and strong initiative to learn and grow as a professional.
- A proven ability to multi-task and work both independently and as a team player in a fast-paced, demanding environment.
- An ability to think creatively about systems and processes to streamline workflow and ensure maximum accuracy.
- Strong communication skills, both written and verbal.
- High integrity and strong moral principles.
- Willingness and ability to understand regulatory and compliance environment.
- Technological savvy.
To learn more, and to apply please click the link below:
https://vikingglobal.com/jobs/
Please include #NABCRMP as your referral source.
FEATURED JOB: resolution life compliance position
NABCRMP Corporate Member Resolution Life is conducting a search for the following role in risk and compliance:
Operational Risk Management Senior Analyst (2 Positions)
Profile Summary:
This position reports to the Compliance and Ethics Department at Resolution Life U.S. (“RLUS”). This position supports the business to properly identify, assess and manage operational risks, drive risk content discussions, make control remediation recommendations, development of lessons learned, aggregate such risks, and assist with new risk initiatives and projects.
Profile Description:
- Assist with the roll out of the operational risk framework.
- Support the execution of business process risk assessments and reviews according to the RLUS standards.
- Engage with risk/control partners, (e.g., IT, Legal, Compliance, etc.) to compile and assess key risk themes for the business.
- Coordinate risk and control assessments of identified business processes or risk themes.
- Explore emerging risk areas and partner with business leaders to assess exposure and preparedness.
- Perform event root cause analysis and develop lessons learned.
- Make control remediation recommendations.
- Advise on risk remediation trade-offs as necessary.
- Ensure risk follow up actions are developed and formally tracked.
- Manage the ongoing tracking of risk register and key control issues and ensure ongoing reporting and follow-up.
- Ensure risk follow up actions are formally tracked, inclusive of audit or other control function identified items.
- Conduct proper follow up to update risk register status, especially for overdue items.
- Coordinate with other control functions, (e.g., Compliance, IT, Legal, Audit, Financial Control, TPRM, BCP) to ensure visibility into key risk action items.
- Challenge the closure of action items and the solutions outlined by the business, where necessary.
- Create business awareness of risk reporting requirements and practices to self-identify operational risks.
- Expand Key Risk Indicator reporting.
- Create awareness materials and perform training to staff and executives, as needed.
Knowledge and Experience:
- Minimum 3 years of experience in risk management or similar discipline of risk identification required (financial services environment and operational risk management experience is preferred)
- Excellent analytical and problem-solving skills, with the ability to break down complex business processes, analyze potential risks and think outside the box to recommend appropriate solutions
- Highly disciplined, able to make independent decisions and work with limited supervision
- Experience in leading and delivering cross-functional initiatives, with the ability to collaborate with business and functional experts to provide risk assessment guidance, recognize risks and design enhancements.
- Proven track record of fostering relationships across all levels and operating through influence to formulate, advocate and drive ideas forward.
- Proficiency in automated reporting tools, Microsoft Office suite of products
Work Locations: Open to remote in EST, CST, or MST time zones | #LI-Remote
Critical Skills:
At Resolution Life, we have identified the following critical skills which are key to success in our culture:
- Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
- Critical Thinking: Thoughtful process of analyzing data and problem-solving data to reach a well-reasoned solution.
- Team Mentality: Partnering effectively to drive our culture and execute on our common goals.
- Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions.
- Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
To learn more, and to apply please click the link below:
Please include #NABCRMP as your referral source.
FEATURED JOB: American Express compliance position
NABCRMP Corporate Member American Express is conducting a search for the following role in risk and compliance:
Manager - Technology Risk Oversight
https://aexp.eightfold.ai/careers?pid=11276472&domain=aexp.com
Manager / Senior Manager - Product Owner
Manager / Sr Manager - Credit & Fraud Risk Strategy
https://aexp.eightfold.ai/careers/job?domain=aexp.com&query=22002709&pid=10615400
Analyst / Senior Analyst - Product Innovation and Analytics
Analyst / Sr Analyst Product Owner
https://aexp.eightfold.ai/careers/job?domain=aexp.com&query=%C2%A022002821&pid=10619503
Data Scientist - Global Decision Science
Please include #NABCRMP as your referral source.
FEATURED JOB: bny mellon compliance positions
NABCRMP Corporate Member BNY Mellon is conducting a search for the following roles in risk and compliance:
Senior Principal, Asset Servicing and Digital Business Risk Management
Senior Specialist, Compliance & Control (Monitoring & Testing)
Please include #NABCRMP as your referral source.
FEATURED JOB: The Zenith compliance position
The Zenith a FairFax Company is conducting a search for the following role in risk and compliance:
Regional Underwriting Manager
Oversees all underwriting operations of the branch/office and any remotely located individual(s) that reports into that office/branch. Possessing a high level of underwriting technical and sales acumen this leader will interact on a regular basis with our agency base and policyholders marketing the Company and its products. The essential functions of this position include, but are not limited to, the following:
- Conducts annual performance reviews on any direct reports. Does salary administration and review of sign offs.
- Provides on-going performance feedback to direct reports.
- Works with supervisor on performance improvement plans or personnel issues.
- Provides coaching and development when and where appropriate.
- Provides feedback to branch management staff.
- Uses operational audits and yearly compliance audits to gauge performance of branch and individuals.
- Supports local training and establishes training protocols for the office.
- Work with Underwriting Technical Director to develop technical training courses.
- Will interview technical job candidates before they are hired to make sure they possess appropriate qualifications and experience.
- Hold management meetings to discuss vision and goals. Schedules and conducts all employee meetings to discuss operational issues and direction.
- Provides the branch sponsorship when needed. Removes obstacles from the process.
- Creates an environment within the branch offices that supports teamwork, growth and innovation.
- Works with management from other disciplines and other offices to solve problems.
- Positions Zenith as the expert in Workers’ Compensation.
- Works with Branch Manager to set strategic underwriting direction.
- Achieves planned results through decisions and actions based on professional methods, business principles, and practical experience.
- Will recommend or make decisions regarding existing or new programs that have a significant impact on operations and carry potential consequences if unsuccessful.
- Has highest level of underwriting authority in the Branch.
Education, Skills and Experience Requirements:
- Bachelor’s Degree or equivalent combination of education and experience required.
- Minimum of five years of related work experience required.
- Prior staff management experience preferred.
- Demonstrates leadership in within the branch. Is a champion of change.
- Ability to create and present a clear focused message to all constituents. Comfortable in front of groups and able to handle questions/controversy.
- Expert listener and problem-solver.
- Highly skilled in building business information, disseminating it, and sharing with senior management.
- Expert in worker’s compensation underwriting. Intimate understanding of the core business, strategies, and practices required to successfully run the office.
- Strong oral and written communications skills used to explain, teach, and document.
- Strong reading and math skills.
- Knowledge of workers’ compensation policy rules.
- PC literacy required.
- Data analysis skill to determine workloads and strategies for peak periods.
- Strong presentation and listening skills.
- Strong in data analysis.
- Proficient in Zenith’s underwriting philosophy and standard industry procedure.
- Driver License in good standing.
This Position will sit in the Sarasota, FL Branch Office.
Can participate in Work from Home program but will need to be in the office based on office program guidelines.
To learn more, and to apply please click the link below:
Please include #NABCRMP as your referral source.
FEATURED JOB: citi compliance positions
NABCRMP Corporate Member Citi is conducting a search for the following roles in risk and compliance:
Accountability, Culture, and Talent Transformation Program Principal (C14/SVP)
Data Integrations Lead (C15)
Please include #NABCRMP as your referral source.
career resources
Employers
Thank you for making NABCRMP Career Resources part of your recruitment strategy. Our job board is ideal for employers who need to find diverse risk/compliance professional applicants very quickly.
Your Ad Submissions:
Send your ad directly to alisehon.reid@nabcrmp.org. Alternatively, you can complete the job posting form. You will need to include basic information, such as institution, job title, region, position/rank, salary range, job description, as well as the posting expiration period. You can also upload your institutions logo. There are no ad dimensions, no word limits, and no deadlines.
- For non-members, job ads are $150 for each placement. For individual members, job ads are $75 per placement. Corporate members, however, are free to submit unlimited job opportunities to be posted and featured on our web channels.
- Upon your submission, you will receive an invoice. You may pay online with a credit card or print the invoice to mail in with your payment (check or credit card). The ad will be posted after payment is processed, approximately 1-2 business days after the NABCRMP receives payment.
- Already posted an ad? Contact us at alisehon.reid@nabcrmp.org if your ad needs to be changed after posting or removed before the end of the listing period.
- Still have questions? Contact us at alisehon.reid@nabcrmp.org.
Resume Review (Members Only)
Having your resume reviewed by a seasoned professional in your field is invaluable to your job search. NABCRMP offers resume reviews for members, pairing senior compliance & risk management professionals with members wishing to bolster their resume. If you are interested in having your resume reviewed, please contact complete the form below.