Compliance Testing Officer Market Liquidity Wealth Salt Lake City or Houston
Share
Job Location:
Salt Lake, UT - USA
Monthly Salary:
Not Disclosed
Posted on:
13 hours ago
Vacancies:
1 Vacancy
Job Summary
Zions Bancorporation is one of the nations premier financial services companies operating as a collection of great banks under local brands and management teams in high-growth western markets. Zions is regularly recognized by American Banker magazine as having a top banking team in its list of The Most Powerful Women in Banking. Our customers consistently vote us as the best bank in our local markets. We value our employees and we are committed to search out recognize and create fulfilling opportunities for outstanding people within our organization rewarding them for their contributions to our success. We recognize that banking is a local business and that to be successful we must have very strong ties to the communities we serve and strong relationships with our customers.
With benefits starting on day one 12 bank holidays profit sharing and company-matched 401(k) contributions Zions is dedicated to being an employer of choice in our communities. At Zions the possibilities are endless. You bring the talent; we bring the opportunity.
We are currently seeking a Risk and Compliance Testing Officer within the Market Liquidity Wealth Risk & Compliance Team.
Description
A Market Liquidity and Wealth Risk & Compliance (MLW) Testing Officer works closely with team members and business line personnel to provide second line of defense oversight into some of the most significant and exciting divisions of Zions Bancorporation. A position as a MLW Risk and Compliance Testing Officer will provide unique opportunities to collaborate across divisions and help develop and strengthen compliance and risk programs that align with the firms risk management framework.
Responsibilities
The MLW Risk and Compliance Testing Officer provides the expertise and innovative thinking necessary to execute the annual compliance testing and risk oversight program and for the specialty areas of Zions Bancorporation.
Specialty business lines and products may include the Companys Capital Markets division Bank Dealer Broker/Dealer Trust Divisions Municipal Advisors and Finance Wealth Management Activities Registered Investment Advisors Insurance Agency departments offering investment products and derivatives (e.g. swaps forwards etc.) and others as needed. Not only will the MLW Risk and Compliance Testing Officer be responsible for executing the testing program the Risk and Compliance Testing Officer will have exciting responsibilities that will provide exposure to the broader risk and compliance team and business lines which may include:
Provide Quality Control reviews on Regulatory Change Industry Enforcement Actions Issue Management monitoring programs. Also develop the expertise to execute these programs in the absence of the program manager.
Review analyze and evaluate business processes procedures and controls to assess operational risk mitigation activities.
Perform data analysis and testing to support conclusions regarding operational risk in processes.
Perform quality controls and backup functions for the MLW Key Risk Indicator monitoring program.
Responsible for key internal governance functions such as:
Manage and maintain and update the MLW Internal Procedure Manual and other internal governance documents.
Coordinate and track quarterly cross divisional coordination meetings
Perform other special projects as directed by senior MLW managers.
Qualifications
Requires a bachelors degree in business finance or a related field.
2 years experience in financial services finance compliance risk management auditing securities industry or other related experience.
Strong analytical and research skills with the ability to independently drive a discovery process and develop an understanding of a business practice in a short amount of time.
Self-motivation and the ability to dive into a task and see it through from beginning to end.
Ability to self-manage with minimal management oversight.
Willing to sit for and pass FINRA Series licenses such asand/or 79 over time. Strong attention to detail and organizational skills and ability to meet deadlines. Strong communication skills (written and verbal).
Ability to present information to regulators senior management and/or risk committees in a professional manner.
Other related certifications such as CIFRS CPA etc. a plus.
Strong Excel skills and experience in data analysis data mining or database management is a plus.
Benefits:
Medical Dental and Vision Insurance - START DAY ONE!
Life and Disability Insurance Paid Parental Leave and Adoption Assistance
Health Savings (HSA) Flexible Spending (FSA) and dependent care accounts
Paid Training Paid Time Off (PTO) and 11 Paid Federal Holidays
401(k) plan with company match Profit Sharing competitive compensation in line with work experience
Mental health benefits including coaching and therapy sessions.
Tuition Reimbursement for qualifying employees
Employee Ambassador preferred banking products
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Zions Bancorporation recognizes that its success comes from the dedication, experience, and talents of its diverse employee base. As we usher in the.....
