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Compliance Officer, Finance & Banking
Job in
Augusta, Kennebec County, Maine, 04338, USA
Listed on 2026-07-13
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-13
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
Responsibilities
- Develop, refine, and operationalize a comprehensive investment risk framework for CIO activities
- Help design and maintain the policies, procedures, and control standards for how CIO conducts IDD and ODD
- Document investment processes, controls, and oversight routines for RCSAs, audits, and regulatory needs
- Build dashboards that highlight CIO risk exposures, trends, outliers, and high-impact themes for review by leadership
- Sit with the CIO team to understand their workflows and ensure the risk framework is practical and adopted
- Bachelor’s degree in finance, Economics, Accounting, Mathematics, Statistics, or a related field (preferred)
- A minimum of 3 years in portfolio management, investment research, or investment risk; familiarity with IDD/ODD concepts strongly preferred
- CFA, CAIA, or CFIRS, or FRM preferred or in progress
- Understanding and applying laws and regulations relevant to banking and consumer finance
- Evaluating potential risks and identifying control gaps in processes and systems
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