CFA Institute
GRC Quality Assurance Lead
CFA Institute, Los Angeles, California, United States, 90079
GRC QUALITY ASSURANCE LEAD
WHAT IS THE OPPORTUNITY?The Quality Assurance function is a key role for the overall success of the Governance, Risk and Controls (GRC) Office. This role is responsible for coordinating and operationalizing the quality assurance program and methodology for the validation of regulatory issue closure. This role is accountable for setting new standards for the first line of defense remediation of regulatory issues and performing independent and objective quality assurance on issue closure during critical points. This new position provides opportunities for working across all levels of CNB, including across the business, second line of defense, Internal Audit, and Regulatory Relations.
What you will doResponsible for leading and executing quality assurance reviews of issue remediation artifacts, including but not limited to, reviewing, challenging, and verifying implementation of management's corrective action plans and the completeness of evidence supporting the issue closure.Accountable to independently complete deliverables in accordance with the Quality Assurance Review Program including workpapers and final reports.Promote effective quality assurance awareness in the respective business lines through positive and collaborative relations with business executives and structured interactions with key stakeholders to discuss critical quality assurance outputs and provide and solicit feedback.Maintain solid working relationships with first line of defense, second line of defense, Internal Audit, and Regulatory Relations.Support a high–performance environment by fostering an inclusive work environment, mentoring/coaching colleagues and peers, and enabling opportunities for them to achieve development goals.Contribute to ad–hoc assignments and special projects.
Must–HaveBachelor's Degree or equivalent.Minimum 6 years of experience in risk management, internal audit, governance, quality control roles, and/or other complimentary capacities, preferably within the financial services industry, and/or with financial institutions' regulators.Minimum 3 years of experience in the financial services industry.Minimum 2 years of management, supervisory level and/or project management experience.
Skills and KnowledgeBachelor's Degree preferably in accounting, finance, business administration, social science or related field.Knowledge and/or experience with (but not limited to) FINRA, SEC, MSRB, FRBNY, and OCC rules and any other banking regulations and guidelines e.g., Regulatory Compliance.Core competencies in other business processes and related risk areas that may not be specific to the banking industry is strongly preferred e.g., IT Risk Management, Human Resources, Finance, etc.Excellent communication with all levels of management (verbal and written) including formal report writing skills.Demonstrated project management experience to lead and/or independently execute multiple deliverables and priorities amongst various internal stakeholders.Excellent analytical, research, and problem–solving skills.Proficient with MS Office including PowerPoint and Visio.
CompensationStarting base salary: $101,231 – $172,355 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
To be considered for this position you must meet at least these basic qualificationsThe preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Benefits and PerksAt City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks.
INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENTCity National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.
ABOUT CITY NATIONALWe start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues, and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community, and unparalleled client relationships continues to drive phenomenal growth today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies.
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WHAT IS THE OPPORTUNITY?The Quality Assurance function is a key role for the overall success of the Governance, Risk and Controls (GRC) Office. This role is responsible for coordinating and operationalizing the quality assurance program and methodology for the validation of regulatory issue closure. This role is accountable for setting new standards for the first line of defense remediation of regulatory issues and performing independent and objective quality assurance on issue closure during critical points. This new position provides opportunities for working across all levels of CNB, including across the business, second line of defense, Internal Audit, and Regulatory Relations.
What you will doResponsible for leading and executing quality assurance reviews of issue remediation artifacts, including but not limited to, reviewing, challenging, and verifying implementation of management's corrective action plans and the completeness of evidence supporting the issue closure.Accountable to independently complete deliverables in accordance with the Quality Assurance Review Program including workpapers and final reports.Promote effective quality assurance awareness in the respective business lines through positive and collaborative relations with business executives and structured interactions with key stakeholders to discuss critical quality assurance outputs and provide and solicit feedback.Maintain solid working relationships with first line of defense, second line of defense, Internal Audit, and Regulatory Relations.Support a high–performance environment by fostering an inclusive work environment, mentoring/coaching colleagues and peers, and enabling opportunities for them to achieve development goals.Contribute to ad–hoc assignments and special projects.
Must–HaveBachelor's Degree or equivalent.Minimum 6 years of experience in risk management, internal audit, governance, quality control roles, and/or other complimentary capacities, preferably within the financial services industry, and/or with financial institutions' regulators.Minimum 3 years of experience in the financial services industry.Minimum 2 years of management, supervisory level and/or project management experience.
Skills and KnowledgeBachelor's Degree preferably in accounting, finance, business administration, social science or related field.Knowledge and/or experience with (but not limited to) FINRA, SEC, MSRB, FRBNY, and OCC rules and any other banking regulations and guidelines e.g., Regulatory Compliance.Core competencies in other business processes and related risk areas that may not be specific to the banking industry is strongly preferred e.g., IT Risk Management, Human Resources, Finance, etc.Excellent communication with all levels of management (verbal and written) including formal report writing skills.Demonstrated project management experience to lead and/or independently execute multiple deliverables and priorities amongst various internal stakeholders.Excellent analytical, research, and problem–solving skills.Proficient with MS Office including PowerPoint and Visio.
CompensationStarting base salary: $101,231 – $172,355 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
To be considered for this position you must meet at least these basic qualificationsThe preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Benefits and PerksAt City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks.
INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENTCity National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.
ABOUT CITY NATIONALWe start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues, and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community, and unparalleled client relationships continues to drive phenomenal growth today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies.
#J-18808-Ljbffr