Wealth, Corporate, Commercial, And Institutional Banking Operations Risk And Compliance Analyst
CurrentDevelop, implement, and maintain a robust risk management framework. This includes reviewing and overseeing the effectiveness of risk management processes to ensure they are aligned with organizational standards and objectives. Responsible for the first-line compliance oversight of the back office operations functions across WMISO, Transfer Agent activity, Custody Operations, Wealth Management Operations, Document Custody, Trade Settlement and Recon, Corp Actions and Tax Reclaims, Reg. Change Management, Regulatory Reporting, Issue Management, and Marketing Material Reviews. Engaged in projects and activities to ensure strict adherence to federal, state, and local laws and regulations. Is crucial in ensuring that the organization complies with all relevant legal and regulatory standards. Identifying gaps within internal processes, systems, or human operations that may result in losses or inefficiencies. Recommend and implement solutions to address these gaps, thereby reducing the risk of loss. Proactively monitor and assessing risks, respond to potential issues, and escalating them as needed.
