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Bank Of America Compliance Operational Risk Manager- Control Room United States, North Carolina, Charlotte 842469095
This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.
Responsibilities:
Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (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
Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks
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:
Advisory
Monitoring, Surveillance, and Testing
Regulatory Compliance
Reporting
Risk Management
Critical Thinking
Influence
Interpret Relevant Laws, Rules, and Regulations
Issue Management
Policies, Procedures, and Guidelines Management
Business Process Analysis
Decision Making
Negotiation
Process Management
Written Communications
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 Sustainability & 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 matterexpertise/consultation
Assist with the training of new hires and junior team members.
Respond to AMRS regulatory Inquiries, lead/facilitate meetings with Research Legal and Investment Banking Legal.
Manage day to day Control Room processes.
Assist AMRS manager in Quality Assurance reviews for the AMRS team.
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, UAT testing or working alongside Global Tech and Operations support partners.
Required and Desired Candidate Qualifications:
- 7+ years’ experience
- Bachelor’s Degree or Equivalent experience
- In depth knowledge of or certification in law, rule, regulation or area of coverage
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