Compliance Risk Assessment Associate

RBC

Charlotte, United States of America
Onsite
Financial services industry experience
Finra, sec, msrb, frbny, cfpb, occ rules
Microsoft office proficiency
Support Risk Assessment activities including taxonomy updates, business review and updates, Baseline Inherent Risk Rating process, and end of year reporting

Job Summary

  • Support Risk Assessment activities including taxonomy updates, business review and updates, Baseline Inherent Risk Rating process, and end of year reporting.
  • Assist in tracking 1LOD and 2LOD completion of the risk assessment for reporting of KPIs, as well as assisting in QA of 2LOD review and challenge.
  • We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

Matching Summary

Support Risk Assessment activities including taxonomy updates, business review and updates, Baseline Inherent Risk Rating process, and end of year reporting.

Skills & Requirements

Must-have

  • financial services industry experience
  • FINRA, SEC, MSRB, FRBNY, CFPB, OCC rules
  • Microsoft Office proficiency
  • matrixed environment experience
  • data presentation and analysis
  • heavy workload management
  • team-focused management style

Nice-to-have

  • strategic thinking
  • understanding compliance risk framework
  • interconnectivity of regulatory change
  • independent and collaborative problem solving
  • high degree of attention to detail

Key Requirements

  • 3-5 years experience in financial services
  • Knowledge of financial regulations
  • Graduate Degree

Work Rights

Not specified

Tailored Resume

Cover Letter