Position Title
First Line Risk & Controls Advisory SpecialistLocation
Work From Home United StatesJob Summary
Focused on meeting daily quality assurance (QA) deadlines along with agreed upon service levels for our retail customers and internal business partners. The FLRCA Specialist is cross-trained and performs all of the following functions within the department on a rotational basis, depending on Business Unit (BU) supported, which may include, but is not limited to the following examples: CIP/NAICS Code Account Review, New Account Verification, CD Rate Review, Commercial Loan Closing Review, Flood Insurance Review, Call Quality Assurance reviews/Self-Tests, and Patriot Act Account Closures. Regulatory and IRS knowledge is required for CIP, OFAC and W-8 International standards. They will also provide second level support, operational and product support with respect to retail banking customers and front-line employees.Job Responsibilities:
Participates in daily quality assurance activities including updating reference material, compliance review of activities for BU supported, which may include, but not limited to the following: CIP, NAICS, Flood Insurance and new accounts opened, in addition to completing compliance related audits/tests, for various teams. Which could also include, performing attribute testing of Branch Oversight Reviews, under minimal supervision. Reports control issues to the Team Lead.
Researches and resolves problems and responds to customer inquiries, which is mainly internal teams.
Assists in review of procedures to satisfy corporate, legal and regulatory guidelines and requirements. Images all paper audit trail documentation for the department daily, if needed.
ADDITIONAL ACCOUNTABILITIES
Performs special projects, and additional duties and responsibilities as required.
Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.
JOB REQUIREMENTS
Required Qualifications:
Education level required: High School / High School Equivalency (GED, HiSET, TASC) / Foreign Equivalent.
Minimum experience required: 3+ Years banking/lending and regulatory experience, depending on area of focus.
Preferred Qualifications:
Education level preferred: Undergraduate Degree (4 years or equivalent).
1+ year of prior knowledge of Regulatory operations and/or KYC/CIP (Preferred).
Job Competencies:
Proven ability to partner effectively across all levels of the organization and develop positive working relationships.
Solid understanding of enterprise risk management frameworks, laws and regulations impacting financial institutions. Able to manage and execute multiple complex projects within required timeframes.
Experience defining and documenting business processes and functions.
Ability to analyze and assess the adequacy of operational controls and identify opportunities for process improvement gains and efficiency gains.
Solid understanding of operational risk management and audit industry best practices.
Demonstrated ability to follow company policies, guidelines, and procedures.
Strong attention to detail, ability to multi-task and well-developed organizational skills.
Demonstrated ability to maintain confidentiality using tact and diplomacy.
Excellent verbal and written communication skills and demonstrated success communicating with various levels within an organization along with presenting plans in a convincing way.
Ability to think critically and logically. Highly perceptive, inquisitive and methodical.
Proactive self-starter with good people management skills and a strong work-ethic.
Strong analytical and problem-solving skills, proactive and solution oriented.
Moderate to advanced skill level with Microsoft Office including MS Word, MS Excel, and PowerPoint.
Physical demands (ADA): No unusual physical exertion is involved.
CSG
Golden 1 Credit Union
ING
EY
SUTHERLAND GLOBAL COLLECTION SERVICES LLC
