Associate ll, Investment Risk Ops.

At FNBO our employees are the heart of our storyand were committed to their success! Please see below the details of this career opportunity and how it fits into our organizations success.

We believe in a Modern Flexible Workplace and we are continuously exploring advancements in technology and office environments to make it easier to collaborate and connect with customers and coworkers.

It is anticipated that an incumbent in this role will work onsite 100% of the time and will have a dedicated workspace. Work location is subject to change based on business needs.Support the design implementation and continued improvement of the investment risk management program for the Banks Wealth Division primarily First National Advisers LLC (FNA) a Registered Investment Adviser (RIA). Key member of the Wealth risk management team reporting directly to the Director of Risk Wealth Management. Position will require a current and consistently evolving understanding and knowledge of all applicable regulations and laws to meet the needs of FNA and related business units as required.

This role will spend a considerable amount of time conducting key firstline of defense monitoring and oversight to ensure processes comply with applicable laws regulations and guidance and will be accountable for corresponding reporting.

About This Role:

Key Accountabilities:

Risk Management: Support the Wealth Risk Management team in the design implementation and continued improvement of the risk management program for FNA and related business activities. Identify opportunities for improvement in the overall risk oversight processes and controls. Perform risk management testing and oversight of controls processes and implementation of policies and procedures. Assist with follow up on exam items regulatory updates and testing results as needed.

Review and monitor adherence to departmental policies and procedures to ensure compliance with regulatory requirements. Perform oversight and monitoring activities for FNA and related business activities. Report QC/monitoring results to BU management and Business Partners. Assist with riskbased oversight of processes related to FNA activities. Help business unit implement and monitor risk review processes including Risk Self Assessments risk control processes and testing as assigned. Document findings and monitor corrective action to ensure issues are addressed. Actively review and test processes to identify gaps or control issues in policies and procedures as assigned. Coordinate with the business to draft and compile various Committee agendas packets and minutes. Maintain data and review submissions related to FNAs Code of Ethics.

Policies & Training: Understand and adhere to all policies laws and regulations applicable to role (including OCC SEC and FINRA).

• Complete compliance training; follow internal processes and controls as required.
• Understand and adhere to all bank policy and laws and regulations applicable to role.

• Ensure initial and periodic training is completed and comply with bank policy laws and regulations applicable to role.
• Ensure adherence to business unit compliance requirements in business development materials and process documents.
• Report all issues violations of law or regulations in accordance with the business unit compliance standards.

• Understand and adhere to all of the accountabilities listed above specifically related to AntiMoney Laundering and the USA Patriot Act.

The Ideal Candidate for This Role:

Minimum Qualifications:

Knowledge Skills and Abilities

• Knowledge of fiduciary and investment laws and regulations including (but not limited to) the Securities Act of 1933 and the Securities Exchange Act of 1934

• Strong interpersonal skills including the ability to build collaborative relationships listen and actively contribute to discussions.
• Ability to work independently and present recommendations to several organizational audiences.
• Strong communication and collaboration skills including the ability to work effectively with others at all levels across the organization
• Strong work ethic with the ability to selfmanage consistent productivity and ability to propose solutions based on analysis completed
• Ability to work cross functional
• Organizational skills that include planning critical thinking and attention to detail
• Strong Problemsolving skills
• Ability to work independently and with senior level business unit managers
• Strong analytical skills with high attention to detail and accuracy
• Ability to exercise independent judgment and creative problemsolving techniques
• Ability to articulate complex concepts in a clear manner

Job Requirements

• 35 years in wealth management or RIA risk/regulatory compliance field or industry background.
• Effective project management facilitation and presentation skills.
• Strong oral and written communication skills.

• Proficient in Microsoft Word Excel PowerPoint Outlook and Teams

Compensation:

Compensation range (base pay): $62047.00$102377.00

This role may have a specific starting pay within this range.

Final compensation offer to candidate may vary from posted hiring range based upon work experience education and/or skill level.

Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and worklife balance we offer benefits to match your needs:

• Medical Dental Vision Insurance

• 401k With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• ShortTerm/LongTerm Disability Insurance

Learn more about FNBO benefits here: additional information regarding compensation and benefits email FNBO at . To ensure you receive a response include the number of this job (listed below) in the subject line of your message.

Job number: R

Equal Opportunity & Belonging:

FNBO believes that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued recognized and empowered to be their authentic selvesno matter their role or where they are in their journey.

Learn more here.

FNBO is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.

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FNBO is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer Member FDIC

FNBO follows federal law regarding the use of marijuana (this applies to all nonCalifornia applicants)

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.