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Bank Of America Compliance Operational Risk Specialist United States, Illinois, Chicago 593475719
Overview of the role
This role is responsible for C&OR coverage of the end-to-end activities related regulatory reporting for the AMRS region, which include understanding of how the business segments operate (e.g. trading) and the underlying regulatory requirements which govern those activities. This primarily includes, but is not limited to, Futures industry reporting covering Large Trader, Open Interest, Customer Gross Margin, Client Segregation Requirements, etc., as well as other specific NFRRs covering primarily Securities Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) jurisdictions.
Day-to-day activities will include (but not limited to):
Advising the Business, Operations, and other stakeholders with the interpretation of NFRR regulatory requirements
Coordinating and engaging with other C&OR officers to provide comprehensive oversight of NFRR FLU/CF activities.
Reviewing & challenging the bank’s implementation of NFRR, including the control framework
Assessing new NFRR regulations, including interpretation and communication of changes, to ensure effective implementation by the bank.
Assisting the FLU/CF with the development of risk metrics, monitors related performance and breach remediation.
Developing new monitoring and testing activities covering NFRR accuracy, completeness and/or timeliness
Conducting monitoring and targeted assessments
Reviewing results of tests executed by the Enterprise Independent Testing team.
Assessing additional training needs relating to NFRR
Reviewing the bank’s policies relating to NFRR, including the development and maintenance of C&OR-owned policies
Working with Business and Operations stakeholders and C&OR teammates globally to promote consistency and best-in-class practices.
The successful candidate should have the following attributes:
Minimum 3-5 years of work experience in a Compliance and/or Operational Risk function
Exposure to the Futures industry, with 3-5 years of work experience within a Futures Commission Merchant (FCM) or in support of FCM activities, having familiarity with regulatory reporting obligations and respective Futures industry Rules & Regulations.
Logical thinker who can make rational, evidence-based decisions while knowing when to escalate, as necessary.
A flexible and solution driven perspective, and a determination and desire to find answers to complex issues.
Ability to understand the translation of laws, rules and regulations into business requirements, processes, and controls.
Strong written and oral communication, including the ability to articulate complex issues in a simple way and to interact with senior stakeholders effectively, confidently and with empathy. Keen attention to detail
Enthusiastic, responsible, and dependable team player who is also able to work independently and take ownership of their area.
Collaborator with good interpersonal skills who proactively builds relationships, with the agility and resilience to deliver results in a fast-paced, evolving space.
Strong knowledge of financial markets, banking industry, equities, and derivative products
Strong technical and data analytical skills (i.e., Excel and similar applications) with experience in analyzing, managing, and reporting from large sets of structured data (e.g., books and records data)
Demonstrates intellectual curiosity and drives operational excellence.
Ability to demonstrate a high level of integrity with a mature approach to work.
Desired Qualifications:
Experience interacting with regulatory agencies and/or regulatory exams.
Regulatory reporting experience and/or experience in a global markets regulatory reporting environment.
Experience in technology implementation projects including involvement in building new or enhancing existing systems to meet complex reporting requirements.
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
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