Engage in tasks related to Consumer Duty, maintaining compliance with standards and regulations.
Complaints and Metrics Management:
Produce and manage monthly complaints metrics and oversee regional and legal entity metrics for various regions and entities.
Meeting Administration:
Support forums by preparing and distributing materials, reviewing data quality, managing invites, and tracking action items.
Document Governance:
Create forum packs, become the Document Manager for CIB’s Additional Document types, and coordinate annual reviews to maintain compliance and accuracy.
FINRA Compliance:
Validate and manage Written Supervisory Procedures Inventory reconciliation and conduct annual validations.
Sworn Documents Governance:
Manage QA submissions, create forum packs, produce metrics, and perform librarian tasks, including mailbox management.
OLO QA Activities:
Produce monthly reports for the OLO Working Group, manage mailboxes, and supporting test cycles.
Qualifications:
Bachelor's degree or equivalent preferred.
1-3 years’ relevant internship/business experience; financial services industry or background in controls, audit, quality assurance, operational risk management, or compliance preferred.
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).