Governance Risk Compliance Wealth Management Analyst

About the role

The Business Unit Operational Risk Analyst works within a given line of business to ensure operations comply with regulatory and legal requirements and organizational policies. They collaborate with various teams to execute the Operational Risk Framework and support governance, risk, and compliance activities.

Responsibilities

• Conducts compliance reviews and analyzes business units and processes
• Maintains documentation and reports to management regarding compliance and potential issues
• Provides requested information to management for reporting to agencies regarding compliance with Sarbanes-Oxley, Bank Secrecy Act/Anti-Money Laundering, and Office of Foreign Assets Control
• Analyzes the execution of the operational risk management framework, including risk and control self-assessments, new initiative risk assessments, operational risk/loss events, scenario analysis, emerging risk identification, and front-line risk assessments
• Supports ongoing and recurring Governance Risk and Compliance (GRC) activities and maintenance
• Assists in the review of contracts, agreements, and statements of work
• Maintains an inventory of key controls across all areas of Wealth Management
• Tracks and updates regulatory inventory with changes affecting Wealth Management activities
• Facilitates risk-related mapping associated with business process mapping

Requirements

• Bachelor’s degree in a related field and 3 years' experience in finance, risk, or operations, or
• High School Diploma or GED and 7 years' experience in finance, risk, or operations

Skills and Competencies

• Attention to detail
• Excellent analytical and management reporting skills
• Excellent communications skills
• Organizational and time management skills
• Risk Management
• Strong critical thinking skills
• Ability to manage multiple priorities
• Comfortable working in fast-paced, dynamic environments

Preferences

• Familiarity with control inventory, regulatory inventory, risk-related business process mapping functions
• Familiarity with GRC tooling for risk assessment, controls, and compliance
• Experience using GRC platforms or integrated risk management systems
• Experience supporting GRC workflows, reporting, and control testing
• Experience in risk management and compliance frameworks