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Compliance Risk Analyst

2 months ago

Houston, Texas, United States Federal Reserve Bank of Cleveland Full time
Company
Federal Reserve Bank of Cleveland

At the Federal Reserve Bank of Cleveland, we are committed to fostering a robust financial system and a thriving economy for everyone. Our success relies on a diverse team of professionals engaged in various roles, and we value your unique insights and experiences to deliver optimal solutions for our stakeholders.

Position Overview:

We are seeking a qualified individual to join our supervisory team focused on Large and Foreign Banking Organizations (LFBO). As a Compliance Risk Analyst, you will be responsible for evaluating the enterprise's legal and compliance risks and associated risk management strategies from a safety and soundness viewpoint. You will report directly to the Director of Examinations and collaborate with a team of examiners tasked with assessing Governance and Controls (G&C) under the Federal Reserve's Large Financial Institution's (LFI) Rating Framework.

As part of the Federal Reserve Bank of Cleveland's expanding LFBO portfolio, the selected candidate will engage in the evaluation of the firm's ongoing safety and soundness within the financial sector, encompassing all three lines of defense. Familiarity with the Consolidated Supervision Framework for Large Financial Institutions as outlined in SR Letter 12-17 is preferred. Knowledge of the LFI Ratings Framework as detailed in SR Letter 19-3 is also beneficial. Experience in Compliance Risk Management Programs at Large Banking Organizations with Complex Compliance Profiles is essential.

Key Responsibilities:
  • Oversee the evaluation of legal and compliance risks, emphasizing enterprise compliance risk management while facilitating assessments across various operational areas, including corporate functions and consumer banking.
  • Participate in supervisory evaluations of legal and compliance aspects and contribute to reviews of enterprise risk management, board effectiveness, and internal audit processes.
  • Act as the Examiner-in-Charge for relevant supervisory activities, conducting coordinated reviews and engaging with internal and external regulatory colleagues.
  • Contribute to the evaluation of regulatory ratings for Risk Management, CAMELS, and Governance and Controls.
  • Develop and implement a robust risk-focused supervisory program aligned with LFBO Management Group requirements.
  • Conduct ongoing risk-focused supervisory activities, including management meetings to gain a comprehensive understanding of the firm's strategies and risk management practices.
  • Innovate approaches for assessing risk management practices relative to peer institutions and integrate internal and external data into the supervisory process.
  • Communicate supervisory expectations and required actions clearly to management.
  • Collaborate with other risk specialists and regulatory examiners to build a thorough understanding of Legal and Compliance risks.
  • Foster effective working relationships within the team and with regulatory agencies.
  • Demonstrate flexibility and leadership by assisting with various risk topics as needed.
  • Ensure the timely completion of supervisory work products and maintain compliance with relevant policies and procedures.
  • Interpret regulatory guidance and assess its implications for the firm's safety and soundness.
Qualifications:
  • A Bachelor's degree in business administration, finance, economics, or a related field is required; an advanced degree is preferred.
  • A minimum of seven years of relevant supervisory, regulatory, or banking experience is required. An active examiner commission from a federal or state banking supervisory agency is advantageous.
  • Familiarity with the Federal Reserve's Consolidated Supervision Framework and CAMELS rating framework is essential, along with knowledge of legal and compliance regulations.
  • Excellent written and verbal communication skills, with the ability to articulate complex concepts clearly.
  • Strong analytical skills and the capacity to synthesize complex information to draw well-supported conclusions.
  • Experience in evaluating risks within complex financial institutions and identifying effective risk management practices.
  • Ability to manage multiple initiatives simultaneously and achieve successful outcomes.
Benefits:

Our comprehensive benefits program is designed to support you at every stage of your career:
  • Healthcare options (Medical, Dental, and Vision)
  • 401K match and a fully funded pension plan
  • Paid vacation, holidays, and volunteer hours; flexible work environment
  • Subsidized public transportation and free parking
  • Tuition reimbursement
  • Professional development programs and training opportunities
  • And more...
Notes:
This position allows for a hybrid work arrangement, combining onsite and remote work. Specific scheduling details will be discussed during the recruitment process. All candidates must be prepared for periodic travel for supervisory examinations.

The Federal Reserve Bank of Cleveland is an Equal Opportunity Employer that values diversity and inclusion. We are committed to creating an inclusive culture that reflects the communities we serve.

If you require assistance or accommodations due to a disability, please inform your Talent Acquisition Consultant.

Full Time / Part Time
Full time

Regular / Temporary
Regular

Job Exempt (Yes / No)
Yes

Job Category

Work Shift
First (United States of America)

The Federal Reserve Banks are dedicated to equal employment opportunities and fostering an environment where employees are appreciated for their diverse backgrounds.