Lead Compliance Officer – Trade Surveillance Oversight
Wells Fargo
Senior Business Control Specialist – Technology Risk, Regulatory Engagement
Bank of America
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • Florida, North Carolina, Texas • 🇺🇸 United States
Visit company websiteJob Level
Senior
About the role
- Oversees the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards
- Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation
- Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
- Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness
- Performs QA activities including executing on controls, managing cases, and reporting results
- Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success
- Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting
Requirements
- 3+ years of internal control, regulatory, audit, risk, compliance or relevant work experience within a financial services or technology organization
- Good Technology Domain Knowledge
- Good facilitation and presentation skills
- Excellent knowledge of MS Office 365 products
- Self-starter, organized, versatile, capable of performing work with minimal management oversight
- Problem solver who can manage through ambiguity
- Detail oriented with an ability to review documentation for accuracy and report on the status of risk reviews
- Proven ability to manage multiple and often competing priorities in a global and fast paced environment
- Ability to coordinate and drive execution of priorities and meet deadlines
- Intellectually curious and will research to understand complex issues and drive timely decisions, knowing when to engage others for additional input, and when to act independently.
- Bachelor's and/or Master’s degree
- CISSP, CRISC, CISA, CISM certification or similar
- Prior operational risk or compliance experience in the technology arena
- Detailed, bank-specific risk management and governance experience
Benefits
- Health insurance
- Paid time off
- Flexible work arrangements
- Professional development
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
internal controlregulatory complianceauditrisk managementquality assurancedata evaluationtesting automationprocedural updatestest script updatesdocumentation review
Soft skills
facilitation skillspresentation skillsself-starterorganizational skillsproblem solvingdetail orientedability to manage prioritiesexecution coordinationintellectual curiosityindependent decision making
Certifications
CISSPCRISCCISACISM
