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Job Details

Compliance Risk Consultant

Company name
SolomonEdwardsGroup, LLC

Location
San Ramon, CA

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SolomonEdwards - Compliance Risk Consultants

SolomonEdwards is working with an established banking client with a history of over a hundred years of being in business and part of one the strongest banks in the world. Our client has turned to Solomon Edwards for compliance risk assessment help.

Responsibilities

Responsible for the completion of the annual corporate compliance risk assessments including training, resolving issues with the business lines, and performing quality assurance reviews of completed risk assessments.

Responsible for the drafting of various corporate compliance risk assessment reports including the annual risk assessment results report, annual compliance plan, and other ad-hoc report requests

Responsible for maintenance of the regulatory matrix including updates for new or amended regulations from various regulatory agencies (e.g., FRB, SEC, FINRA, CFPB, FDIC, etc.).

Develops enhancements to the corporate compliance risk assessment methodology including calculations of inherent risk, control environment adequacy, residual risk and overall aggregation of results.

Develops enhancements to the corporate compliance risk assessment tool including process flows for completing risk assessments, control library documents, and reporting capabilities.

Communicates policy and other assigned compliance requirements at senior levels. Works with Corporate Compliance subject matter experts, legal, finance, treasury and risk department leads, and business unit compliance officers to ensure enterprise alignment to corporate compliance policies and regulatory requirements.

Develops and executes and improves procedures for department workflow.

Oversees the maintenance of databases and spreadsheets through data entry and file uploads, and performs verifications for completeness and accuracy.

Cross-trains and provides backup to critical functions of Corporate Compliance governance and policy teammates.

Performs other duties as assigned.

Job Requirements

Consultant Industry Experience

Over eight years of compliance related experience in a banking environment. Management consulting background strongly preferred.

Required Functional Background

Bachelor’s Degree in Business Administration or related field preferred.

Eight (8) years of prior relevant experience with at least four (4) years of risk assessment experience.

Knowledge of Banking and Investment Banking regulations including UDAAP, Regulation Z, Regulation B, Volcker, SEC and FINRA rules.

Knowledge of Intermediate Holding Company regulations for Foreign Banking Organizations.

Experience in risk assessment analysis and report writing.

Ability to work independently and manage assignments to meet assigned deadlines.

Team player with leadership qualities.

Management experience a plus.

Experience with Foreign Banking Organizations a plus.

Intangibles:

Sense of urgency, organized and professional

Able to roll up sleeves and jump in to complete work

Organized and detail oriented

Strong analytic ability and oral communication skills

Able to multitask and work effectively in a deadline driven environment 

Proficiency in Word, Excel, PowerPoint.

Logistics

On site at our client’s East Bay offices in the San Francisco Bay Area

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Company info

SolomonEdwardsGroup, LLC
Website : http://www.solomonedwards.com

Company Profile
SolomonEdwardsGroup, LLC (SolomonEdwards or SEG) is a national business advisory and professional staffing firm. Our customized solutions provide our clients with the right combination of talent and expertise to achieve their business objectives. We operate from seven major cities across the country and maintain a global network of partners to serve multinational clients. SolomonEdwardsGroup, LLC is not a registered public accounting firm.

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