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Zions Bancorporation · 1 day ago

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

Salt Lake City, Utah, United States

Full-time

Onsite

Entry, Mid Level

2+ years exp

Zions Bancorporation is one of the nation’s premier financial services companies, and they are seeking a Risk and Compliance Testing Officer within their Market, Liquidity, Wealth Risk & Compliance Team. This role involves executing the annual compliance testing and risk oversight program while collaborating across divisions to strengthen compliance and risk programs.

AgricultureBankingFinanceFinancial Services

Responsibilities

Provide Quality Control reviews on Regulatory Change, Industry Enforcement Actions, Issue Management monitoring programs. Also, develop the expertise to execute these programs in the absence of the program manager

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

Responsible for key internal governance functions such as:

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

Qualification

Risk managementCompliance testingData analysisFINRA Series licensesFinancial services experienceAnalytical skillsOther certificationsExcel skillsCommunication skillsOrganizational skillsSelf-motivationAttention to detail

Required

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