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Bank Of America EAC Compliance & Operational Risk Specialist- Control Room United States, North Carolina, Charlotte 473800096
This job is responsible for supporting the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and the Compliance and Operational Risk Management Program. Key responsibilities include assisting with identifying, escalating, and mitigating risks in a timely manner, supporting engagement and Control Functions (FLU/CF) leaders globally, coordinating with the FLU/CF Compliance and Operational Risk Officer teams, identifying themes and trends, conducting analysis for new and emerging risks.
Responsibilities:
Assists in assessing risks, associated controls and their effectiveness, driving compliance with applicable laws, rules and regulations and adhering to policies, and developing reporting and documentation
Engages in activities to provide independent compliance and operational risk oversight of Front Line Unit or Control Function (FLU/CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
Assists in identifying and escalating problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses, and may assist with opening new issues in the centralized issues tool
Maintains an inventory of processes, risks, and controls and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
Assists in responding to regulatory inquiries and other audits and examinations including monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintain a comprehensive regulatory inventory, while supporting communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures and/or processes are appropriately implemented or amended to address regulatory requirements
Reviews and challenges FLU/CF process, risk, Single Process Inventory and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage
Skills:
Analytical Thinking
Regulatory Compliance
Reporting
Risk Management
Written Communications
Active Listening
Adaptability
Issue Management
Monitoring, Surveillance, and Testing
Policies, Procedures, and Guidelines Management
Advisory
Business Process Analysis
Interpret Relevant Laws, Rules, and Regulations
Process Management
This position is part of the Americas Control Room covering US, Canada, and Latin America.
Responsibilities of the role include but are not limited to:
Review Investment Banking (“IB”) transactions for potential addition(s) to the Watch List and/or Restricted List. Follow up with IB to receive deal updates.
Review of Global Research reports prior to public dissemination against the Watch or Restricted List in accordance with Laws, Rules, and Regulations.
Provide Global Markets principal/firm trade preclearance on restricted list issuers.
Provide information wall subject matter expertise to support all lines of business and support partners.
Manage Wall crossings
Respond to Americas regulatory Inquiries, facilitate meetings with Research Legal and Investment Banking Legal.
Manage day to day Control Room processes.
Provide training and awareness to the lines of business and their support partners on information wall topics.
Contribute to global technology initiatives via idea generation, User Acceptance Testing or working alongside Global Tech and Operations support partners.
Required Qualifications:
Ability to produce accurate work output and reports under tight deadlines
3-5 years professional experience
Bachelor’s degree or equivalent experience
Demonstrates intellectual curiosity and drives operational excellence
Ability to think critically to quickly analyze and resolve issues
Influences and delivers results through collaborative relationship with key partners and stakeholders
Works independently to prioritize work and deliver against regulatory deadlines in a dynamic environment
Ability to demonstrate a high level of integrity with a mature approach to work
Discrete when handling confidential information
Desired Qualifications:
Control Room workflow experience or related knowledge; transferable skills
Diligent work ethic
Effective Communicator; Strong writing and presentation skills
Team player
Task oriented and willing to train junior team members
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