Business Risk and Controls Advisor Senior- Policies and Governance
Posted on: September 5, 2019
Purpose of Job Positioned in the first line of defense to ensure
the overall effectiveness of risk and compliance management
programs, risk analytics and operations in the business. This role
will partner and collaborate with Compliance and Risk Management,
as well as Business Operations, IT, Audit Services, and Regulators
to support risk and compliance based initiatives. Responsible for
ensuring adherence to the governance of the established risk
framework and ongoing supervision of business controls including
risk and control self-assessments, identification and evaluation of
control effectiveness, identifying control failures, facilitating
risk and compliance remediation, market conduct exams, and
monitoring the first line of defense in an effort to minimize risk
exposures and strengthen the overall control environment. Leverages
risk assessment data, and identifies key data-driven insights tied
to first line of defense Job Requirements * Manages and drives
solutions for stronger controls on behalf of the business, and in
support of risk and/or regulatory compliance related initiatives
which may include: oversight of procedures/process, accurate
regulatory reporting and filing, document governance, risk control
self-assessments, procedure governance, control design, or new
product controls, supplier governance, or quality governance.
* Performs ongoing supervision and oversight of business controls
and shares knowledge with team members to evaluate the
effectiveness of established business controls.
* Serves as a first line of defense Subject Matter Expert in one or
more key areas e.g. Governance Risk and Compliance data (GRC)
* Holds responsible for first line of defense data analysis, report
preparation and trend analysis, utilizing business intelligence
* Anticipates business needs and proactively identifies
opportunities to improve and strengthen the control environment
through actionable insights.
* Provides guidance in the execution of Risk Control
Self-Assessments (RCSA's), translates control deficiencies into
action plans and provides recommendations to enhance governance
practices in alignment with risk and compliance frameworks.
* Partners with stakeholders to drive improvement efforts to
correct or prevent unfavorable trends and assess the impacts.
* Facilitates, manages and oversees complex projects involving
cross-functional areas in the first line of defense.
* Leads project team through concept, planning, execution, and
implementation phases for effective and timely risk
* Advises senior management on the status of their control
environment related to risk identification and control
* Identifies critical areas to monitor and escalates issues and
findings to appropriate stakeholders.
* Develops and maintains processes, procedures and tools for
managing exception alerts as they occur, including monitoring and
management of resulting exception cases.
* Ensures adherence and compliance with regulations and controls by
examining and proper documentation.
* Serves as a primary resource to less experienced team members
and/or cross functional team members and advises on risk mitigation
opportunities. Stays informed of changes to the regulatory
environment to ensure proper compliance with processes and
requirements are followed. Minimum Requirements: * Bachelor's
Degree or 4 additional years of related experience beyond the
minimum required may be substituted in lieu of a degree.
* 6 or more years operations experience in a relevant functional
area to include financial services, insurance, banking, investment,
information technology, public accounting or other related
operational area that supports risk/compliance initiatives within
* Advanced knowledge of relevant regulatory compliance, industry
regulations and regulatory data sources required. Preferred
Experience: * Experience operating in large financial services
firms or other highly regulated industries.
* Experience working with policy management systems and GRC tools
* Advanced degree, MBA or JD.
* Experience developing and maintaining training programs and
* 4 or more years project or program management experience in
governance and policy experience The above description reflects the
details considered necessary to describe the principal functions of
the job and should not be construed as a detailed description of
all the work requirements that may be performed in the job. At USAA
our employees enjoy one of the best benefits package in the
business, including a flexible business casual or casual dress
environment, comprehensive medical, dental and vision plans, along
with wellness and wealth building programs. Additionally, our
career path planning and continuing education will assist you with
your professional goals. Relocation assistance is notavailable for
Keywords: USAA, Avondale , Business Risk and Controls Advisor Senior- Policies and Governance, Accounting, Auditing , Avondale, Arizona
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