Description
We are seeking a Compliance Advisor Principal Associate to join our Model, Adverse Action, and Script Enhancement (MASE) Compliance team. As a Compliance Advisor Principal Associate, you will assess the regulatory alignment of logic in specific computer code (script) reviews and collaborate with script owners, business risk offices, and compliance partners to ensure regulatory risk stemming from scripts is appropriately managed.
Responsibilities:
- Assess regulatory alignment of logic in script reviews
- Collaborate with script owners, business risk offices, and compliance partners
- Engage with the Tech and Data Risk Management team to address regulatory risks
- Provide effective challenge and guidance on compliance risks
- Advise lines of business on application of Compliance requirements
- Assist in assessing regulatory risk associated with models
- Identify trends in data and advise on emerging risks
- Maintain subject matter expertise of applicable laws and regulations
- Engage and respond to inquiries from Internal Audit and Regulatory Examiners
- Conduct targeted validations and reviews on scripts
- Maintain expert understanding of Compliance Risk Management Framework
- Assist in capturing, maintaining, and analyzing compliance data
The ideal candidate will possess:
- Strong organizational skills and results orientation
- Ability to navigate ambiguous situations
- Collaborative and solution-oriented mindset
- Highly developed interpersonal and communication skills
- Ability to effectively challenge the first line of defense
- Successful track record in a highly regulated industry
- Ability to balance operating independently with escalation and interaction with senior leadership
- Understanding of key regulatory and audit requirements
- Self-starter with proven ability to develop new processes and procedures
- Strong knowledge of computer code and script
Basic Qualifications:
- Bachelor's Degree
- At least 2 years of experience in compliance, legal, or audit
- At least 2 years of experience supporting internal business clients
Preferred Qualifications:
- Master's Degree or Law Degree
- 4+ years of experience in compliance, legal, or audit
- Certified Anti-Money Laundering Specialist, Certified Information Privacy Professional, Series 7, Series 24, Series 63 or Series 65 certification