Compliance Operations and Risk Consultant
3 weeks ago
Calfee Strategic Solutions (CSS), a wholly owned subsidiary of Calfee, Halter & Griswold LLP has an opportunity for a Compliance Operations and Risk Consultant for its Cincinnati office. CSS is not a law firm and does not provide legal services. It supports advisers in the development and administration of their compliance programs.
The Compliance Operations and Risk Consultant supports registered investment adviser and broker-dealer clients in the overall management of the client compliance program, the application of compliance policies and procedures, and the development of the firm’s governance and risk management practices. This includes maintaining regulatory risk and governance oversight by analyzing and establishing internal controls for the client’s primary lines of business, communicating with senior management and departmental management, supervising employee conduct and firm operations, and coordinating the review of relevant policies and procedures of the client based on new regulatory guidance and industry best practices.
Responsibilities
- Consulting on the effective integration and implementation of the Compliance Rule, including the development of policies and procedures in accordance with the firm’s business operations and any compliance certifications associated with its Code of Ethics or other related requirements.
- Assisting client in the completion of any regulatory filings before the U.S. Securities and Exchange Commission and state securities commissions, attorneys general, and local authorities (i.e. Form ADV, Form PF, etc.).
- In collaboration with the client, drafting and coordinating employee training and education materials associated with adherence to the Compliance Rule, including the annual compliance training and any ad hoc training sessions.
- Assisting the client in conducting and completing the annual review and risk assessment of the firm’s compliance program, to ensure the adequacy and effectiveness of firm policies and procedures designed to prevent violation of federal securities laws, in accordance with the requirements of the Compliance Rule.
- Reviewing and editing marketing and advertising materials connected to the provision of the advisory services provided by the client.
- Working with the client to establish, coordinate, and enhance the firm’s third-party due diligence program of key service providers, including a legal review of any relevant contracts.
- Engaging in client communications on multiple client relationships.
- Managing the day-to-day operations of the compliance programs for multiple clients.
- Managing internal audits to ensure effective integration of the Compliance Rule into the firm’s compliance program.
- Supporting the client and assisting with the firm’s response to any external audits, examinations, or other matters pending before the U.S. Securities and Exchange Commission and state securities commissions, attorneys general, local authorities, or other third-parties seeking a review of the firm’s compliance program.
- Assisting the client in monitoring the firm’s data privacy and cybersecurity programs, including adherence to Regulation S-P, Regulation S-ID, the federal fiduciary standard, state data privacy and cybersecurity laws (i.e. CCPA; NYDFS), and any other related regulations that affect the firm’s advisory business.
Qualifications
- Bachelor's degree in a related field.
- 5+ years of relevant experience in compliance and risk management.
- General working knowledge of federal and state data privacy and cybersecurity laws.
- Proven experience monitoring and auditing compliance programs, conducting internal risk assessments, and analyzing and establishing internal controls for existing business practices.
- Ability to work collaboratively, meet deadlines and communicate effectively with various levels of management.
- Superior client service and communication skills with a demonstrated ability to develop and maintain outstanding client relationships.
- Strong attention to detail and organizational skills.
- Excellent skills in understanding complex business processes and providing clear, concise guidance.
- Ability to maintain a high level of confidentiality and professionalism.
- Proficiency using the Microsoft Office Suite.
Interested candidates should submit a cover letter and resume to Catherine Davis, Professional Recruiting Coordinator, at cdavis@calfee.com. To learn about the firm’s Investment Management group, visit our website at www.calfee.com. We are an Equal Opportunity Employer.
-
Security, Risk and Compliance Consultant
1 month ago
Cincinnati, United States SEI Full timeWHAT WE DO Our Security, Risk and Compliance consultants work with clients at all levels of the organization, from the C-suite to the shop floor, helping them to deliver on their most strategic initiatives. We’re known for making realistic, data-driven decisions that deliver value in tangible ways to our clients. Our clients ask for us on projects that...
-
Scenario Analysis Program Manager
1 week ago
Cincinnati, United States U.S. Bank Full timeAt U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide,...
-
Scenario Analysis Program Manager
1 day ago
Cincinnati, United States U.S. Bank Full timeAt U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide,...
-
Sr. Quantitative Risk Analyst
2 weeks ago
Cincinnati, United States Federal Home Loan Bank Full timeSr. Quantitative Risk Analyst - Model Risk General Summary: Independently leads and assists activities related to managing and mitigating model risks, by independently performing validations, monitoring governance, and providing guidance and expertise related to models used by the Bank. The Senior Analyst collaborates with various stakeholders to ensure the...
-
Sr. Quantitative Risk Analyst
22 hours ago
Cincinnati, United States Federal Home Loan Bank Full timeSr. Quantitative Risk Analyst - Model Risk General Summary: Independently leads and assists activities related to managing and mitigating model risks, by independently performing validations, monitoring governance, and providing guidance and expertise related to models used by the Bank. The Senior Analyst collaborates with various stakeholders to ensure the...
-
Compliance Director
1 week ago
Cincinnati, United States Fifth Third Bank Full timeMake banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Responsible for the continued development and implementation of the Bancorp's compliance programs and management of the related Compliance Managers and teams, including...
-
Compliance Director
20 hours ago
Cincinnati, United States Fifth Third Bank Full timeMake banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Responsible for the continued development and implementation of the Bancorp's compliance programs and management of the related Compliance Managers and teams, including...
-
Cincinnati, United States Jobs for Humanity Full timeCompany Description Jobs for Humanity is collaborating with FIS Global to build an inclusive and just employment ecosystem. We support individuals coming from all walks of life. Company Name: FIS Global Job Description Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel...
-
Cincinnati, United States Fidelity National Information Services Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10% Job Description Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments...
-
Cincinnati, United States Jobs for Humanity Full timeCompany Description Jobs for Humanity is collaborating with FIS Global to build an inclusive and just employment ecosystem. We support individuals coming from all walks of life. Company Name: FIS Global Job Description Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel...
-
Third-Party and Operational Risk Management Director
11 hours ago
Cincinnati, United States Fidelity National Information Services Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10% Job Description Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments...
-
Compliance Director
7 days ago
Cincinnati, United States Fifth Third Full timeMake banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Responsible for the continued development and implementation of the Bancorp's compliance programs and management of the related Compliance Managers and teams, including...
-
Risk Analyst
4 days ago
Cincinnati, Ohio, United States FIS Global Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Job DescriptionAre you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...
-
Risk Analyst
1 day ago
Cincinnati, Ohio, United States FIS Global Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Job DescriptionAre you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...
-
Cincinnati, Ohio, United States FIS Global Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Job DescriptionAre you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...
-
Cincinnati, Ohio, United States FIS Global Full timePosition Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Job DescriptionAre you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...
-
Senior Risk Control Consultant
1 week ago
Cincinnati, United States Gallagher Full timeAbout Us: Indulge your passion for problem-solving and embrace the thrill of addressing risk head-on at Gallagher's global brokerage team. Join a family of diverse minds, united by a relentless pursuit of excellence. As part of our team, you'll be the architect of protection, safeguarding businesses and empowering their ambitions. Together, we'll build a...
-
Senior Risk Control Consultant
23 hours ago
Cincinnati, United States Gallagher Full timeAbout Us: Indulge your passion for problem-solving and embrace the thrill of addressing risk head-on at Gallagher's global brokerage team. Join a family of diverse minds, united by a relentless pursuit of excellence. As part of our team, you'll be the architect of protection, safeguarding businesses and empowering their ambitions. Together, we'll build a...
-
Senior Risk Control Consultant
6 days ago
Cincinnati, United States Gallagher Full timeAbout Us: Indulge your passion for problem-solving and embrace the thrill of addressing risk head-on at Gallagher's global brokerage team. Join a family of diverse minds, united by a relentless pursuit of excellence. As part of our team, you'll be the architect of protection, safeguarding businesses and empowering their ambitions. Together, we'll build a...
-
Technology Risk
2 days ago
Cincinnati, United States Fifth Third Full timeMake banking a Fifth Third better We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: This position is responsible for assisting with the development and implementation of information technology risk strategies identified by IT Business Controls (Technology...
