Internal Control Specialist
4 days ago
This position involves supporting the development of internal strategies, policies, procedures, and processes to prevent violations of law, rule, or regulation. The successful candidate will design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise.
Core Responsibilities:
- Supporting the creation of best-in-class Compliance programs, policies, and practices for ICRM.
- Evaluating various materials to ensure compliance with regulatory and legal requirements.
- Identifying potential risks and escalating them for further review, as necessary.
- Creating and maintaining reports for control, tracking, and analysis purposes and ensuring secure document retention.
- Working with senior staff to investigate and respond to raised compliance risk management issues and drafting routine correspondence.
- Collaborating with other areas within ICRM, as necessary.
- Coordinating and tracking policy, training, and other compliance risk management initiatives.
- Assisting in the preparation, editing, and maintenance of Compliance program-related materials.
Necessary Qualifications:
- Understanding of compliance laws, rules, regulations, risks, and typologies.
- Excellent written and verbal communication skills.
- Must be a self-motivated, adaptable, innovative, and flexible individual.
- Strong interpersonal skills with the capacity to collaborate effectively with people at all organizational levels.
- Effective project management and organizational skills with the capability to manage multiple projects at one time.
- Proficiency in MS Office applications (Excel, Word, PowerPoint).
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