- Assisting in the enhancement and automation of programs and processes.
- Preparing and directing compliance testing and training.
- Monitoring for compliance obligations.
- Working with internal teams to collect, store and record key terms and documents.
- Identifying risks, assessing mitigating controls, and making recommendations on improving the control environment to management and compliance committees.
- Developing and maintaining in-depth understanding of business areas and supporting functions.
- Developing relevant knowledge and skills by attending conferences and trainings.
- Bachelor's degree in accounting, finance, economics, or related business field
- 8+ years of professional experience. 5+ years of those years of financial services compliance or operational management, analysis, and reporting (., banking, capital markets, investment management).
- General understanding of financial markets and related rules and regulations.
- Ability to successfully work independently.
- Ability to use good judgment and escalate issues when needed.
- Ability to prepare and deliver timely, concise, and accurate reports and presentations.
- Ability to partner with counterparts to support various business functions.
- Has a firm understanding of complex business processes and information technology systems and related controls.
- Industry certifications: Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Certified Regulatory Compliance Manager (CRCM), Financial Risk Manager (FRM)
- Relevant advanced degree, or comparable experience or certifications (., JD, MBA, MPA)
Compliance and Operations Specialist - Salt Lake City, United States - The Church of Jesus Christ of Latter-day Saints
Description
Ensign Peak Advisors is an affiliated organization of The Church of Jesus Christ of Latter-day Saints. In support of the Church's global mission, Ensign Peak Advisors manages the financial reserves of the Church and provides cash management services to fund Church operations.
The Compliance and Operations Specialist will report directly to the Chief Compliance Officer. The role requires a firm understanding of both internal and external compliance requirements and operational best practices. Must possess organizational, interpersonal, and project management skills and exercise good judgment. Must be able to communicate effectively and understand and balance needs across the organization.
The Risk and Compliance Officer will work with management and committees to ensure that controls are adequate and functioning.
The Compliance and Operations specialist will be regarded as a subject matter expert for document retention policies and procedures, information barriers, portfolio compliance, transactional compliance and general compliance matters. Responsibilities may include:
Preferred:
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