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GRC (Governance, Risk, Compliance) Associate

Request Technology - Robyn Honquest

Posted on Sep 6, 2022 by Request Technology - Robyn Honquest

Chicago, IL 60601
IT
Immediate Start
$88k - $122k Annual
Full-Time

Associate Principal or Senior Associate, GRC (Governance, Risk, & Compliance)

Either an Associate Principal or a Senior Associate

SALARY: $109K - $122K and 15% BONUS or $88k - $95k and 10% bonus

HYBRID 3 DAYS REMOTE 2 DAYS ON

SELLING POINTS: Infrastructure risk management and data systems governance risk & compliance GRC internal controls risk assessment strategies

Act as a liaison between the first and the Second and Third Lines of Defense and provide advisory services as related to regulatory/compliance best practices, risk assessments, control frameworks, and process documentation. Support a team to assist in the design and enhancement of the department's processes and controls.

Demonstrate understanding of the Framework for Risk Management and work with management to ensure the company is at the forefront of overall risk management capabilities, systems and processes across all areas including, financial risk management, operations, and technology. This role will support the assessment of current systems and capabilities and support recommendations for Management Committee enhancements needed to be at the leading edge of GRC practices.

Responsibilities

  • Learn, develop, and advance GRC knowledge through practical experience and ongoing training, to promote efficiency, effectiveness, and maturity of the control environment
  • Support training of staff on processes, GRC practices, and ad-hoc initiatives that support achievement of goals and objectives
  • Support business units' preparation, execution, and delivery throughout regulatory examinations and other internal or external reviews |
  • Support resolution of issues discovered during examinations, internal audits, compliance reviews and self-testing findings |
  • Monitor, coordinate, support, and document remediation activities and escalate issues, as necessary
  • Support preparation of a summary of remediation activities and closure documentation to leadership and governing committees
  • Implement the business units' internal policies, procedures, processes, controls, and risk statements, Identifying and implementing enhancements for increased efficiency in processes, controls, and related documentation
  • Promote best practices related to documentation, including control rationalization and frameworks
  • Support senior leaders on projects and cross-department collaboration and mentoring of staff
  • Support interactions with regulators, exchanges and other external parties
  • Implement risk management policies consistent with risk management and GRC best practices

Qualifications

  • Knowledge of applicable industry rules and regulations (SEC, CFTC, OCC Rules)
  • Experience with internal controls, risk assessment strategies, audit techniques, and project management
  • Ability to understand, analyze, and design complex processes, including identification and implementation of recommended solutions
  • Ability to understand, at a high level, quantitative models and methodologies and use that knowledge to advise on the associated governance, risk, and compliance activities to achieve positive outcomes
  • Experience performing inherent and residual risk assessments and assessing design and operational effectiveness of applicable controls
  • Must be able to work in a team environment, be responsive to Executive Management
  • Must possess strong oral and written communication and presentation skills with both business and quantitative departments
  • Demonstrated analytical and problem-solving skills and the ability to work in fast paced collaborative environment
  • Must be able to work under deadlines and manage multiple task
  • Experience with Governance and Risk & Compliance Software such as Archer
  • Bachelor of Science in Finance, Business or a related discipline
  • 3+ years of experience with audit, compliance and enterprise risk approaches within SEC or CFTC regulated businesses

Reference: 1722460228

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