Mid-level Risk and Compliance Advisor – Third Party Risk

Responsibilities

• Partner with and guide key business customers to identify, assess, aggregate, and document risks and compliance controls
• Address risks associated with new or modified products, services, distribution channels, regulations, and third-party operations
• Communicate risk and compliance results to governance committees, business process owners, and leadership
• Implement risk policies, practices, appetites, and solutions
• Execute assigned risk and compliance activities in accordance with enterprise policies and procedures
• Maintain and expand knowledge of the regulatory landscape and company challenges
• Coordinate responses to regulatory requirements and requests and support examinations
• Improve strategies, tools, and methodologies to measure, monitor, and report risks
• Apply risk and compliance knowledge and analytical materials to cross-functional business discussions
• Contribute to cross-functional teams identifying, assessing, aggregating, and mitigating current and emerging risk events
• Formulate stress test plans, evaluate results, and frame contingency plans with business partners

• Bachelor's degree; OR 4 years of relevant education and/or experience
• 4 years relevant experience in risk, compliance, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role
• Second Line of Defense Risk and/or compliance experience in a highly matrixed environment
• Knowledge of compliance laws, regulations, and regulatory expectations
• Demonstrated ability to apply regulatory risk and compliance knowledge to consult and provide guidance
• Demonstrated ability to effectively challenge in business or team settings
• Ability to effectively work with internal and external partners in a highly collaborative environment
• Demonstrated critical thinking and knowledge of data analysis tools and techniques and decision-making abilities to effectively recommend data-driven solutions
• Proactively identifies potential concerns and effectively recommends solutions
• Advanced proficiency with Microsoft Office products including Word, Excel, and Power Point
• More than 4 years relevant experience in risk, compliance, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role
• Two or more years designing Risk Assessments, developing work papers, test plans, and performing transactional testing
• Advanced knowledge of the Third Party Risk Lifecycle:
  Planning, Due Diligence, Contracting, Ongoing Monitoring and Termination
• Experience overseeing or assisting business areas with AI governance Modelling, Cyber Security, IT or Data governance assessments and internal control reviews
• Working knowledge of Process Risk Control Inventory (PRCI) concepts
• Excellent problem solving, verbal and written communication and interpersonal skills; with ability to present sophisticated and critical issues to management
• Experience with CLM, Enlighta, Salesforce, and Jira
• Industry certifications: CRISC, CERP, CRCM, CTPRP
• US military experience through military service or a military spouse/domestic partner
• Must not require visa sponsorship or immigration support now or in the future

Demonstrates expertise in risk and compliance management within the financial services or insurance industry, with a strong ability to analyze regulatory requirements and implement effective risk policies. Proficient in collaborating with cross-functional teams to identify and mitigate risks while maintaining compliance with industry standards.

• Risk Management
• Compliance Knowledge
• Data Analysis
• Regulatory Experience
• Third Party Risk Lifecycle

• Risk Assessment Design
• Transactional Testing
• Data Analysis Tools
• Regulatory Compliance
• Risk Control Inventory

• Critical Thinking
• Problem Solving
• Verbal Communication
• Written Communication
• Interpersonal Skills

• CRISC
• CERP
• CRCM
• CTPRP

• Financial Services
• Insurance Industry
• Second Line of Defense
• Regulatory Landscape
• AI Governance

• Microsoft Office
• CLM
• Enlighta
• Salesforce
• Jira