Compliance Testing Officer - Market Liquidity Wealth - Salt Lake City or Houston

Zions Bancorporation • Salt Lake, UT

1d

About The Position

A Market, Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works closely with team members and business line personnel to provide second line of defense oversight into some of the most significant and exciting divisions of Zions Bancorporation. A position as a MLW Risk and Compliance Testing Officer will provide unique opportunities to collaborate across divisions and help develop and strengthen compliance and risk programs that align with the firm’s risk management framework.

Requirements

• Requires a bachelor’s degree in business, finance, or a related field.
• 2 + years’ experience in financial services, finance, compliance, risk management, auditing, securities industry, or other related experience.
• Strong analytical and research skills, with the ability to independently drive a discovery process and develop an understanding of a business practice in a short amount of time.
• Self-motivation and the ability to dive into a task and see it through from beginning to end.
• Ability to self-manage with minimal management oversight.
• Willing to sit for and pass FINRA Series licenses such as 7, 24, 52, 53, 63, 65, and/or 79 over time.
• Strong attention to detail and organizational skills and ability to meet deadlines.
• Strong communication skills (written and verbal).
• Ability to present information to regulators, senior management, and/or risk committees in a professional manner.

Nice To Haves

• Other related certifications such as CIFRS, CPA, etc., a plus.
• Strong Excel skills and experience in data analysis, data mining, or database management is a plus.

Responsibilities

• Execute the annual compliance testing and risk oversight program and for the specialty areas of Zions Bancorporation.
• Provide Quality Control reviews on Regulatory Change, Industry Enforcement Actions, Issue Management monitoring programs.
• Review, analyze, and evaluate business processes, procedures, and controls to assess operational risk mitigation activities.
• Perform data analysis and testing to support conclusions regarding operational risk in processes.
• Perform quality controls and backup functions for the MLW Key Risk Indicator monitoring program.
• Manage and maintain and update the MLW Internal Procedure Manual and other internal governance documents.
• Coordinate and track quarterly cross divisional coordination meetings
• Perform other special projects as directed by senior MLW managers.

Benefits

• Medical, Dental and Vision Insurance - START DAY ONE!
• Life and Disability Insurance, Paid Parental Leave and Adoption Assistance
• Health Savings (HSA), Flexible Spending (FSA) and dependent care accounts
• Paid Training, Paid Time Off (PTO) and 11 Paid Federal Holidays
• 401(k) plan with company match, Profit Sharing, competitive compensation in line with work experience
• Mental health benefits including coaching and therapy sessions.
• Tuition Reimbursement for qualifying employees
• Employee Ambassador preferred banking products

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees