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Fiduciary And Conduct Risk Compliance Specialist

Apply Req ID: Req0956280 Date posted 05/16/2022
Fiduciary And Conduct Risk Compliance Specialist

Miami, United States of America

WHAT YOU WILL BE DOING

JOB SUMMARY:

The purpose of our Fiduciary Risk Management program is to implement a state of the art program when providing investment advice to clients. The Fiduciary Risk Management program oversights the design, the offering, and the post -sale of financial products. 

The Fiduciary and Conduct Risk specialist for the Wealth Management business will be responsible for reviewing, implementing, and testing procedures to ensure their appropriateness and adequacy to industry best practices, and regulatory and corporate requirements.  

The Fiduciary and Conduct Risk specialist must assist with the revision of the compliance-monitoring program, policies, procedures, practices, and training in response to the changing needs of the organization, laws, and regulations.
5+ years of Compliance, Risk Management, Regulatory Audit, or other relevant experience in Conduct Risk, Operational Risk, and Fiduciary areas is a plus.

JOB RESPONSIBILITIES:

1.Designing and executing compliance and control reviews.

2Review and evaluate the effectiveness of the 1LoD fiduciary risk control environment for BSI, performing independent testing to ensure compliance with policies, procedures, and regulations. Proactive identification of issues or concerns related to gaps in existing processes. Assist in developing corrective action plans and follow-ups to achieve completeness.

3.Active collaboration with the Business Control Office in order to provide sales and product-related personnel with training and to facilitate through effective communication the importance of adherence to the fiduciary and conduct risk procedures.

4.Assist and coordinate monthly reporting to head office, including management information required by SHUSA and the Corporate Office. Coordination of Compliance Plan execution for Fiduciary Risk area.

JOB REQUIREMENTS:

Education: Bachelor’s degree required or equivalent experience

Business Experience: 5-7 years of relevant experience or demonstrated required level of proficiency

Technical Knowledge:

• Proficiency in MS Office (Word, Excel, PowerPoint), Outlook
• Good understanding of human relations and the ability to maintain satisfactory relationships with internal clients and regulators
• Adaptable and able to meet deadlines on assignments
• Good understanding of human relations and the ability to maintain satisfactory relationships with internal clients and regulators
• Adaptable and able to meet deadlines on assignments

Licenses / CertificationsPreferred:
• CTACP (Certified Trust Audit & Compliance Professional)

Languages: Good oral and written communication skills in English and Spanish 

English

Primary Location: Miami, Florida, United States of America


Other Locations: Florida-Miami


Organization: Banco Santander International

As a part of our commitment to the health and safety of our employees and clients, we have implemented COVID-related health and safety requirements for our workforce. These requirements may include all or some combination of: disclosing your vaccination status, being fully vaccinated, regular testing, mask wearing and social distancing. As you go through our selection process, the requirements will be clearly disclosed to you.

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