Senior Compliance Consultant


Saint Louis, MO

5 - 7 years

Posted 163 days ago

  by    Ronald Parks

This job is no longer available.

Our client, a global banking and financial services organization is seeking an experienced compliance and audit professional to join their team(s) located in Charlotte, NC or St. Louis, MO to work in the capacity of Senior Compliance Consultant. The chosen candidate will provide leadership and control testing expertise. S/He will be responsible for leading a team of compliance professionals in executing a risk-based compliance control testing program to ensure compliance with regulatory requirements and corporate policies, including compliance with the Regulatory Compliance Risk Management Policy and Procedures as well as the Operational Risk and Compliance Testing and Validation Standards.



* Design, development, and execution of compliance testing strategies and methodologies evaluating the adequacy and effectiveness of policies, procedures, initiatives, and internal controls and the identification of issues resulting from these reviews.

* Communication with various levels of management to ensure corrective actions, address root cause and meet corporate sustainability requirements.

* Perform regulatory control testing, operational control testing, corrective action validations, written and oral reporting, and the work quality for their team.

* Provide control and compliance risk expertise and lead projects or process improvement initiatives that are complex in scope, high risk and are large in size and organizational span.

* Leverage certain responsibilities and best practices with other departments.

*Responsible for the production of periodic compliance performance reports (i.e. CAR Reports, Quarterly Risk Review, Validation Memos) for senior management..



Best Industry ? Banking, Financial Services

Best Department ? Audit, Compliance or Risk Management




Bachelor?s Degree in Accounting, Finance or a related financial discipline is required. Advanced degree or (CPA, CFA or CIA certification/designation) is a strong plus.

5 - 10 years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both or 6+ years of IT systems security, business process management or financial services industry experience is required.

3+ years must include direct experience in compliance, operational risk management, or a combination of both is required

3+ years of experience performing one or more of the following:

    Review of complex business processes and identification of key controls

    Development and documentation of testing strategies and methodologies

    Evaluating adequacy and effectiveness of policies, procedures, processes and internal controls

    Auditexperience strongly preferred

    Exposure to compliance and regulatory controls in a financial services environment


Advanced MS Office skills are required.

Proficiency with Microsoft SharePoint is required.

SEC and OCC related regulations experience is required.

Knowledge of the investment management or mutual fund business and equity or fixed income instruments is a plus.

Strong communications skills (i.e. verbal, written, interpersonal and presentation) are required.

US Citizens or Green Card holders only apply. No H1b visa sponsorship will be offered with this position.