Associate Compliance Operations Specialist
Role will be tasked to work on various compliance assignments and programs including leading, directing, managing and conducting work. Responsibilities include developing disaster recovery plans, completing client surveys, working backlogs on AML/OFAC screening, Compliance Training development, complaint process overflow and backup, market conduct related activities, new business integration activity coordination, compliance integration, and SOP development.
Job Responsibilities: 1. Operational Integration and Implementation (40%)
This individual will be required to develop, manage and deliver on projects related to the integration/implementation of compliance efforts. This will include both technical and non-technical project types. Will be required to be able to facilitate projects related to acquisitions, divestiture, vendor selection, and business processes. Will be responsible for the development of all project documentation, budget, and communications. In addition, will be held accountable for identifying project risks, time frame and scope. Will be responsible for the identification and recruiting of project resources. Will be responsible for working directly with all levels of management within and outside of the compliance team to successfully deliver on each project. Expected to be able to demonstrate their use and understanding of the (PMBOK) Project Management Body of Knowledge areas and key processes. Will be expected to develop and utilize repeatable processes so that projects can be easily transitioned. Expected that all projects comply with established corporate and IT standards and methodologies including, but is not limited to, financial, ITIL, security, audit, SOX and configuration management 2. Compliance Training (20%)
This individual will be responsible for facilitating Compliance Training programs. Will work to develop training programs to deliver key information related to each compliance topic. Will be responsible for working with the corporate communications and training teams to implement programs that complement the overall corporate approach. Will be responsible for updating all policies, training courses and communications to provide programs that educate and reinforce our corporate compliance policies and programs. Will be responsible for managing various systems that support the training requirements for the domestic and international employees. 3. Client and Regulatory Surveys (20%)
This individual will be responsible for completing client surveys. Will be responsible for providing responses for all of the various Compliance areas. Will be responsible for the coordination within the Compliance team to be able to appropriately respond to each request. Will be responsible for developing standard responses that can be used as part of a basic repeatable process. Will be responsible for having enough of an understanding about each of the Compliance areas to be able to draft all responses. Will be responsible for coordinating and obtaining approval for all survey responses. Will be responsible for all maintaining all survey requests, responses and approvals. 4. Operational Support (20%)
This individual will be required to act as an additional resource for the Compliance teams. These functions included OFAC, Anti-Money Laundering, Complaint management, Market Conduct facilitation and consent action implementation, and law review. This individual must have a working knowledge of these functions to be able to provide extra resource capacity.
Bachelors degree or equivalent experience 1-2 years Project Management experience 1-2 years compliance experience 1-2 plus years Assurant business experience or Insurance industry experience