Compliance Risk Manager Senior – Broker/Dealer

USAA•San Antonio, NC

1d•Hybrid

About The Position

The Compliance Risk Manager Senior – Broker/Dealer provides independent second-line oversight and guidance to help ensure business products, services, and processes comply with regulatory requirements. The role partners closely with the business and key stakeholders to identify and manage compliance risk while promoting a strong culture of compliance, integrity, and sound professional judgment. The position coordinates market conduct examinations and data calls, advises the business on regulatory and legal requirements and enterprise policy, and analyzes potential compliance risks to identify root causes, recommend business solutions, and validate resolution. It reviews implementation planning for new laws and regulations, ensures appropriate parties are engaged, and carries out compliance risk management activities under enterprise policies and procedures. The role collaborates with departments including Underwriting, Claims, State Management, Enterprise Licensing, and Legal. The work environment is flexible but requires in-office attendance four days per week. The position may be based in San Antonio or Plano, Texas; Phoenix, Arizona; Colorado Springs, Colorado; Charlotte, North Carolina; or Tampa, Florida. Relocation assistance is unavailable. The listed salary range is $103,450–$197,730, with actual pay potentially varying by location, experience, and market data. Employees may be eligible for performance-based incentives. USAA does not provide visa sponsorship for this role.

Requirements

Bachelor’s degree, or four years of relevant education and/or experience.
At least six years of relevant experience in compliance, risk, legal, or audit within financial services or insurance, or in specialized technical fields directly related to the role.
Demonstrated experience working in a highly regulated environment.
Advanced knowledge in a specific area of compliance laws, regulations, and regulatory expectations.
Ability to apply advanced regulatory compliance knowledge to consult and provide insight and guidance.
Advanced knowledge of Microsoft Word, Excel, and PowerPoint.
Experience providing guidance and best practices to team members.

Nice To Haves

Securities licenses Series 7 and 24.
Experience working and communicating with regulators.
Familiarity with FINRA rules and requirements.
Testing or audit experience in financial services.
U.S. military experience through military service or as a military spouse/domestic partner.

Responsibilities

Coordinate market conduct examinations and data calls.
Provide guidance to the business so documents, projects, processes, and product initiatives align with regulatory and legal requirements and enterprise policy.
Analyze potential compliance risks, identify root causes, recommend solutions that influence business decisions, and validate resolution.
Review implementation planning for new laws and regulations and ensure appropriate stakeholders are engaged.
Communicate information and positions clearly, concisely, logically, and in an organized manner.
Implement compliance risk management activities in accordance with enterprise compliance policies and procedures.
Collaborate with Underwriting, Claims, State Management, Enterprise Licensing, and Legal.