Regulatory Risk Management Officer

2 weeks ago

O'Fallon, United States Hispanic Technology Executive Council Full time

The Regulatory Risk Management Officer is a key strategic professional who remains informed about advancements within their domain and contributes to the overarching strategy by applying insights relevant to their role and the organization. This position is recognized as a technical authority within the business, necessitating a foundational understanding of commercial dynamics. Typically, multiple individuals within the organization possess similar levels of expertise in this area. Strong communication and diplomatic skills are essential to guide, influence, and persuade others, particularly colleagues from different departments and occasional external stakeholders. The role significantly impacts the area through intricate deliverables and provides counsel related to the operational or technological aspects of the business. The work influences an entire segment, ultimately affecting the overall performance and efficiency of the sub-function or job family.

Key Responsibilities:

  • Communicate to senior management the implications of current and proposed regulations, developing potential responses to these regulations, which may pertain to specific products or broader systemic regulations, including compliance standards.
  • Deliver risk strategic analytics and manage information across various products, ensuring data quality and control for other teams and managers.
  • Support regulatory risk project management by defining business requirements, conducting analyses, and overseeing testing for the implementation of regulatory solutions.
  • Conduct business analysis to address regulatory and operational inquiries while providing insights into the portfolio.
  • Engage in data analysis to monitor and ensure the quality and completeness of data.
  • Oversee project management for various deliverables related to Portfolio Risk Review, including the rationalization of End User Computing tools used in these reviews.
  • Collaborate with clients to understand and swiftly address their needs, actively seeking feedback to drive organizational change.
  • Assist in project management by gathering business requirements and coordinating the approval process for Business Requirement Documents.
  • Evaluate risks associated with business decisions, giving special consideration to the firm's reputation and safeguarding the organization, its clients, and assets by ensuring compliance with applicable laws and regulations.

Qualifications:

  • 6-10 years of experience in product program governance and risk management frameworks.
  • Proficient in Microsoft Office, especially Excel for metrics and data analysis, PowerPoint for presentations, and Word for drafting technical documentation.
  • Comprehensive knowledge of credit source systems and collateral reporting mechanisms.
  • Broad understanding of credit management policies and operational procedures.
  • Demonstrated expertise in financial and risk reporting, with experience in both business and technical areas.
  • Project management experience, adept at collaborating with diverse stakeholders to meet milestones and deadlines while managing multiple projects simultaneously.
  • Strong relationship management skills, capable of fostering partnerships across the organization, including with executive leadership and key functional support areas.
  • Solid understanding of products, risk processes, and regulatory requirements.
  • Experience in compiling and analyzing process and data quality metrics to effectively communicate findings to senior management.
  • Proficient in MS Office applications.
  • Required Licensing/Registration: Series 4, Series 7, Series 9, Series 10, Series 24.

Education:

  • Bachelor's degree required; Master's degree preferred.

This job description provides a high-level overview of the responsibilities associated with this role. Additional job-related duties may be assigned as necessary.

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