Regulatory Compliance Officer - St. Louis
Location St. Louis
Consultant Christian Lewis
Date posted July 13, 20187 Times Square New York NY 10036 Robert Walters United States of America
A Leading Global US Bank is in search for a Compliance Officer to join their second line of defense compliance team focusing on regulatory requirements assurance applicable to their brokerage and WIM departments.
Responsible for performing risk-based Compliance control testing to assure Compliance with regulatory requirements and corporate policies applicable to brokerage as other WIM Compliance programs (i.e. Wealth, Retirement, etc.).
- 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
- Strong critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas.
- 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.