BBVA Compass

  • Markets & Securities - Compliance Testing Officer

    Job ID
    2018-118368
    Site Name
    AL-BIRMINGHAM-CORPORATE HEADQUARTERS
    Category
    Compliance
    Work Location
    US-AL-BIRMINGHAM
    FLSA Status
    EXEMPT
    Type
    FULL TIME
  • Overview

    This position will serve as a key member of the Markets & Securities Compliance Testing Team.  The primary function of this role is to assess the effectiveness of the control environment for compliance with applicable laws, rules and regulations.  Additionally, this person will work closely with Compliance Subject Matter Experts (SMEs) in areas related to various broker-dealer and Trust/Investment Adviser activities as they pertain to risk assessments, compliance testing reviews and issues tracking. 
     

    Responsibilities

    Specific Responsibilities                                              

     

    Compliance Reviews:

    • Plans reviews to ensure they achieve the desired scope, objectives and deadline
    • Ensures reviews address the current risk and control environment and are executed in an efficient manner
    • Properly executes testing and evaluates control design to assess compliance with laws, rules and regulations
    • Ensures work covers all procedures and supporting documentation is complete
    • Ensures reports are accurate, concise and clearly articulate the scope and results of each review
    • Escalates issues to the appropriate level of Compliance Management, as necessary
    • Follows-up on the status of outstanding compliance issues in a timely manner
    • Validates, as required, that corrective actions for issues are effectively implemented by established deadlines
    • Develops and maintains compliance testing procedures for the Markets & Securities Compliance Testing Program
    • Performs Sarbanes-Oxley and Non-SOX Critical controls testing related to applicable areas and evaluates results
    • Is a contributor in the development of the annual compliance testing plan
    • Ensures linkage between the risk assessments and the annual compliance testing plan

     

    Communication:

    • Keeps stakeholders informed of work in progress
    • Develops partnerships and open lines of communication with applicable business units
    • Prepares various forms of written communications

     

    Other:

    • Stays abreast of laws, rules and regulations applicable to areas of responsibility
    • Performs special projects or other duties as assigned
    • Maintains a positive, team oriented attitude
    • May serve in a consultative role from time to time
    • Must be willing to travel on occasions

     

    Qualifications

    Education

     

    • Bachelor’s degree in business related field
    • Series 7 License preferred or must be willing to attain license soon after hire date
    • Professional certification in compliance, trust or audit desired (CRCM, CIA, CFIRS, etc.)

     

    Experience and Skills

     

    • Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records.
    • Knowledge of FINRA and SEC securities regulations
    • Understands banking industry and banking operations, particularly in Trust or Wealth Management
    • Knowledge of regulatory examination procedures used to evaluate both retail and institutional  broker-dealer activities
    • Possesses analytical and problem solving skills
    • Ability to communicate effectively both written and verbal with all levels of management
    • Ability to prioritize and manage multiple tasks and projects
    • Demonstrated ability to meet deadlines
    • Excellent leadership and organizational skills
    • Proficiency in Microsoft Office products such as Word, Excel and PowerPoint

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