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Capital OnePosted 2 weeks ago

MASE Compliance - Compliance Advisor Principal Associate

$109,900–$125,400 year

On-siteChicago, Illinois, United States or Richmond, Virginia, United States

Full TimeSenior LevelEnterprise

Job Summary

Assess regulatory alignment of logic in specific computer code during Code Design Intent Review (CoDIR) processes and report assessment results to script owners. Collaborate with script owners, business risk offices, and compliance partners to ensure regulatory risks from scripts are appropriately managed. Engage with Tech and Data Risk Management teams to address regulatory risks within Script Governance Standards and provide effective challenge and guidance on compliance risks related to computer code usage. Assist in model risk assessments through Model Compliance Inherent Risk Assessment (MoCIRA) and maintain subject matter expertise of applicable laws to respond to inquiries from Internal Audit and Regulatory Examiners. Conduct targeted validations on scripts implementing controls and analyze compliance data to ensure consistency within the Compliance Risk Management Framework.

Required Qualifications

  • Bachelor's Degree
  • At least 2 years of experience in compliance, legal, or audit
  • Understanding of key regulatory and audit requirements and three lines of defense risk management framework
  • Strong knowledge of the use of computer code and script to drive business processes

Desired Qualifications

  • Master's Degree or Law Degree
  • 4+ years of experience in compliance, legal, or audit
  • Certified Anti-Money Laundering Specialist, Certified Information Privacy Professional, Series 7, Series 24, Series 63 or Series 65 certification

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