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Bank Of America Compliance Operational Risk Specialist United States, North Carolina, Charlotte 455812311
Job Description:
Job Description:
The Compliance & Operational Risk (C&OR) Specialist is responsible for maintaining enterprise-wide oversight of policies, processes, controls, laws, rules, and regulations that have enterprise-wide applicability, affecting every Front-Line Unit and Control Function at the firm. This role is an individual contributor role in GCOR Global Strategy & Enterprise Compliance Platforms in the Associate Investment Monitoring Group and is responsible for identifying, escalating, and mitigating risks in a timely manner in alignment with the Compliance and Operational Risk Management (CORM) Program, the Global Compliance Enterprise Policy (GC Policy) and the Operational Risk Management – Enterprise Policy (ORM Policy). This role will have responsibility for the review and disposition of personal investment accounts and the related disclosures in the AIM system as part of the Accounts team and adherence to the Associate Investment Policy designated broker requirements. In addition, the C&OR specialist will be responsible for identifying and mitigating conflicts of interest, as well as providing advice and guidance to employees/contractors and supervisors as to the requirements of the Associate Investment Policies and employee conduct.
Job Responsibilities include (but are not limited to) the following:
Meet all documented service level agreements relevant business metrics (Key Risk Indicators)
Executes risk management activities that detects and evaluates employee conduct-related issues and risks
Escalate concerns/conflicts to C&OR Manager or Executive
Maintain a high level of intellectual curiosity; asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems, and make sound decisions.
Communicating effectively (both written and oral) with internal staff, leadership, and business partners using clear, concise, and understandable language
Producing regular commentary on items of concern, ongoing issues, and recurring patterns.
Proactively anticipating and identifying concerns/issues as part of one’s daily responsibilities.
Demonstrating sound and consistent judgment based on thorough and systematic review of available information
Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing volumes, processes, policies, and regulations
Required Candidate Qualifications:
Minimum Years of Business & Functional Experience: 2 years
Degree Required: bachelor’s degree or Equivalent experience
Knowledge of Compliance laws, rules, and regulations
Securities industry knowledge
Strong conflicts of interest understanding
Strong verbal and written communication skills
The ability to work under pressure and within tight deadlines to a consistently elevated level of accuracy
Takes initiative and demonstrates focused desire to drive improvements versus relying on “status quo”
Demonstrated ability to be effective in an execution-oriented environment
Excellent interpersonal skills with all levels of employees
Discrete when handling confidential information
Flexible and adaptable to change
Able to demonstrate a high level of integrity with a mature approach to work
Intellectually curious
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