EXI, Inc.
Compliance Leader
Wealth and Investment Management is one of the company’s main divisions. Businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
We are seeking an experienced compliance or audit professional to provide leadership and control testing expertise on our Team. The Compliance Consultant role will be responsible for leading a team of compliance professionals in executing a risk-based compliance control testing program to ensure compliance with regulatory requirements and corporate policies applicable, including compliance with the Regulatory Compliance Risk Management Policy and Procedures as well as the Operational Risk and Compliance Testing and Validation Standards.
These responsibilities will include the design, development, and execution of compliance testing strategies and methodologies evaluating the adequacy and effectiveness of policies, procedures, initiatives, and internal controls and the identification of issues resulting from these reviews. In addition, this position will require communication with various levels of management to ensure corrective actions address the root cause and meet corporate sustainability requirements. The team lead is responsible for regulatory control testing, operational control testing, corrective action validations, written and oral reporting, and the work quality for their team. Further, the team leader must provide control and compliance risk expertise and lead projects or process improvement initiatives that are complex in scope, high risk and are a large and organizational span. Finally, the team lead must coordinate/leverage certain responsibilities and best practices with other departments (i.e. Compliance, Operational Risk) as well as other compliance programs (i.e. Retirement) and will be responsible for the production of periodic compliance performance reports (i.e. CAR Reports, Quarterly Risk Review, Validation Memos) for senior management.
Required Qualifications:
- 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both. Or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both.
- Advanced Microsoft Office skills
- Excellent verbal, written, and interpersonal communication skills
- Strong analytical skills with high attention to detail and accuracy
- Ability to interact with all levels of an organization
- 3+ years of experience in a compliance, risk management or audit role performing one or more of the following:
- Review of complex business processes and identification of key controls
- Development and documentation of testing strategies and methodologies
- Evaluating adequacy and effectiveness of policies, procedures, processes and internal controls
- Communication of issues across various levels of management
- Audit experience strongly preferred
- Excellent written and verbal communication skills with proven ability to communicate complex issues in a credible and convincing manner
- Proven ability to work independently, self-starter that proactively engages clients and business partners in a positive and constructive manner and demonstrated follow-through on deliverables
- Exposure to compliance and regulatory controls in a financial services environment
- Advanced degree or certification (CPA, CFA or CIA) a plus
- Compliance systems knowledge (SHRP) a plus
- Proficient in Microsoft SharePoint
- SEC and OCC related regulations experience
- Knowledge of the investment management or mutual fund business and equity or fixed income instruments.