Governance & Controls - Risk Advisor I - FINRA
Governance & Controls - Risk Advisor I - FINRA
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
The position is described below. If you want to apply click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application youll be invited to create a profile which will let you see your application status and any communications. If you already have a profile with us you can log in to check status.
If you have a disability and need assistance with the application you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries wont receive a response).
Regular or Temporary:
RegularLanguage Fluency: English (Required)
Work Shift:
1st shift (United States of America)Please review the following job description:
Engage with Business Unit in its management of risks and controls as well as its execution of risk program requirements. Execute facilitate and/or monitor execution of Risk Program requirements (e.g. RCSA KRIs etc.) within the assigned areas of a Business Unit. Provide risk advice to effectively management risk within the assigned areas of a Business Unit. Aggregate integrate correlate and report risks for assigned areas of a Business Unit. Identify and opine on remediation to address weaknesses related to inadequate or failed processes people and systems or external events and ensure effective remediationJob Description Summary
Engage with Business Unit in its management of risks and controls as well as its execution of risk program requirements. Execute facilitate and/or monitor execution of Risk Program requirements (e.g. RCSA KRIs etc.) within the assigned areas of a Business Unit. Provide risk advice to effectively management risk within the assigned areas of a Business Unit. Aggregate integrate correlate and report risks for assigned areas of a Business Unit. Identify and opine on remediation to address weaknesses related to inadequate or failed processes people and systems or external events and ensure effective remediation
Job Description
Following is a summary of the essential functions for this job. Other duties may be performed both major and minor which are not mentioned below. Specific activities may change from time to time.
- Provide risk advice through engagement with appropriate Subject Matter Experts (SMEs) and BURM peers to assigned business areas within the Business Unit across all risk types to strengthen control environment (control design implementation evaluation and reporting) and support adherence to applicable regulations policies and procedures. I
- Identify and remediate control gaps within assigned business areas.
- Identify measure monitor and escalate key and emerging risks; Report and communicate risk results and escalate material concerns to BURM Leadership.
- Monitor risk mitigation and risk acceptance decisions to ensure a balanced operating environment through formal issues management program and other applicable routines.
- Execute Enterprise and Risk Program requirements to effectively identify measure report and mitigate risks; Utilize and refine analytical tools as appropriate to support assessments of risk.
- Report and communicate risk results and escalate material concerns to BURM Leadership.
- Execute control monitoring and testing activities to assess effectiveness of control environment.
- Manage update monitor and track controls including those aligned to SOX and regulatory requirements.
- Support the execution of risk management initiatives at the direction of BURM Leadership.
- Other activities and special projects as deemed required.
- Qualifications
Required Qualifications:
The requirements listed below are representative of the knowledge skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Bachelors degree in Accounting Business Finance or related field or equivalent education and related training.
- Three to Six years of experience in a financial or other institution with emphasis on risk management or equivalent work experience and training.
- Understanding of SOX and other industryrelated regulatory requirements.
- Knowledge of operational and other nonfinancial risks.
- Ability and willingness to learn and adapt to change and competing priorities.
- Strong written and verbal skills.
- Uses judgment but close supervision is required for most tasks.
- Demonstrated proficiency in basic computer applications such as Microsoft Office software products.
- Ability to travel occasionally overnight.
Preferred Qualifications:
- Masters degree in Finance or Business or equivalent education and related training.
- Six years of banking or relevant experience.
- Audit experience.
- Strong knowledge in field of assigned business unit(s).
- FINRA Series 7 24 53 and 66 licenses (Series 9&10 can be used in lieu of 53 Series 63 & 65 can be used in lieu of Series 66).
General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits though eligibility for specific benefits may be determined by the division of Truist offering the offers medical dental vision life insurance disability accidental death and dismemberment taxpreferred savings accounts and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by fulltime or parttime status) during their first year of employment along with 10 sick days (also prorated) and paid holidays. For more details on Truists generous benefit plans please visit our Benefits site. Depending on the position and division this job may also be eligible for Truists defined benefit pension plan restricted stock units and/or a deferred compensation plan. As you advance through the hiring process you will also learn more about the specific benefits available for any nontemporary position for which you apply based on fulltime or parttime status position and division of work.
Truist is an Equal Opportunity Employer that does not discriminate on the basis of race gender color religion citizenship or national origin age sexual orientation gender identity disability veteran status or other classification protected by law. Truist is a Drug Free Workplace.
EEO is the LawPay Transparency Nondiscrimination Provision EVerify
Required Experience:
Unclear Seniority
Employment Type
Full-Time
