Compliance Risk Assessments, Branch Inspections and Testing Specialist
The Compliance Risk Assessments, Branch Inspections and Testing Specialist is a subject matter expert within the Corporate & Investment Banking compliance group that performs centralized functions and services, and other compliance operations related to the line of business and Wholesale segment.
The Compliance Specialist is responsible for executing ongoing Regulatory Risk Assessment reviews of applicable rules including control mapping and effectiveness reviews, and determination of risk ratings of areas such as investment banking, securities offerings and originations, syndicate, sales, trading and research, derivatives and foreign exchange, and mergers and acquisitions, for Broker Dealer, Swap Dealer and Bank Dealer; provides guidance to enterprise testing team regarding test scripts; and performs required internal Office of Supervisory Jurisdiction and Branch examinations, internal investigations, and reviews of self-identified issues; generates and presents reports and advises on and tracks action plans; helps manage regulatory exams; works closely with the line of business risk administration, enterprise testing and other stakeholders regarding issue identification, root cause analysis and action plan remediation.
Minimum Requirements: College degree. 4-5 years of experience in regulatory compliance or the financial services industry such as broker dealer, bank, legal, audit, or risk management; or equivalent. Strong analytical and problem solving skills. Strong communication skills, both verbal and written. Strong presentation and facilitation skills. Ability to perform multiple tasks in a fluid environment, and to work both independently and as a member of a team.
Preferred Requirements: MBA or advanced degree. 7+ years of regulatory compliance experience. Institutional Broker Dealer compliance experience. Exam management, testing, branch inspection, and control & process monitoring experience. Demonstrated experience with regulatory agencies and a broad knowledge of legal and organizational matters and the ability to apply knowledge to issues of all levels of complexity. Ability to organize, direct, and perform highly complex analysis and tasks. Interpret complex laws and regulations.
Equal Opportunity Employer: SunTrust supports a diverse workforce and is a Drug Testing and Equal Opportunity Employer. SunTrust does not discriminate against individuals on the basis of race, creed, color, gender, religion, national originTo review the EEO Poster, copy and paste the following link into your browser: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf