Risk and Compliance Analyst - Testing (Mid-Level)
Posted on: June 23, 2022
Purpose of Job We are seeking a talented and hardworking Risk
and Compliance Analyst to work a hybrid schedule from our
Charlotte, NC and San Antonio, TX offices.
Positioned in the first line of defense to ensure the overall
efficiency of risk and compliance management programs, risk
analytics and operations in the business. This role will partner
and collaborate with Compliance and Risk Management, as well as
Business Operations, IT, Audit Services, and Regulators to support
risk and compliance-based initiatives. Responsible for supporting
business leader adherence to the established risk framework and
ongoing supervision of business controls including risk and control
self-assessments, identification and evaluation of efficiency,
identifying control failures, facilitating remediation, internal
and external audits and regulatory exams and to minimize risk
exposures and strengthen the overall control environment. Leverages
risk assessment data and identifies key data-driven insights.
USAA knows what it means to serve. We facilitate the financial
security of millions of U.S. military members and their families.
This singular mission requires a dedication to innovative thinking
at every level.
Identifies and leads existing and emerging risks that stem from
business activities and the job role.
Ensures risks associated with business activities are optimally
identified, measured and controlled.
Follows written policies and procedures for business
Counsels the business on how to strengthen and handle their control
environment pertaining to oversight of procedures/process, accurate
regulatory reporting and filing, document governance, risk control
self-assessments, procedure governance, control design, new product
controls, CoSA Third Party Governance, or quality governance.
Performs ongoing supervision and oversight of controls which may
include the coordination of testing, root cause analysis, control
design, and examining key risk metrics to evaluate the
effectiveness of established business controls.
Performs risk data analysis, report preparation and trend analysis,
applying business intelligence tools.
Partners with business owners to assist them in the identification
of control failures and assesses the impact.
Assists with translating control deficiencies into action plans and
facilitates effective and timely risk remediation through action
plan oversight; provides recommendations to improve governance
practices with frameworks.
Maintains processes, procedures, and tools for handling exception
alerts as they occur, including monitoring of resulting exception
Provides control oversight to ensure compliance with laws and
Serves as a resource to team members.
Bachelor's Degree; 4 additional years of related experience beyond
the minimum required may be substituted in lieu of a degree.
Minimum of 4 years' experience supporting risk and/or
compliance-related activities in a financial services operating
environment or other relevant industry OR 4 years' experience in a
relevant quantitative field OR advanced degree or designation in a
risk management or quantitative subject area, and 2 years of
experience supporting risk and/or compliance related activities OR
PhD in a risk management or quantitative field.
2+ years' extensive audit or internal control testing, to include
operation effective testing, walk-throughs, mapping evidence, and
Risk management applications and tools experience
SOX Testing/ Public Company experience
CPA, CIA, CRMA, CCSA, CISA designation
Knowledge of COSO, understanding of Sarbanes Oxley 404 and PCAOB
Broad knowledge of risk, audit, controls (specifically financial
controls; organizational, Application and IT General Controls),
compliance and fraud
The above description reflects the details considered necessary to
describe the principal functions of the job and should not be
construed as a detailed description of all the work requirements
that may be performed in the job.
USAA has an effective process for assessing market data and
establishing ranges to ensure we remain competitive. You are paid
within the salary range based on your experience and market
position. The salary range for this position is
Employees may be eligible for pay incentives based on overall
corporate and individual performance or at the discretion of the
USAA Board of Directors.
- Geographical Differential : Geographic pay differential is
additional pay provided to eligible employees working in locations
where market pay levels are above the national average.Shift
premium will be addressed on an individual basis for applicable
roles that are consistently scheduled for non-core hours.
At USAA our employees enjoy best-in-class benefits to support their
physical, financial, and emotional wellness. These benefits include
comprehensive medical, dental and vision plans, 401(k), pension,
life insurance, parental benefits, adoption assistance, paid time
off program with paid holidays plus 16 paid volunteer hours, and
various wellness programs. Additionally, our career path planning
and continuing education assists employees with their professional
To see details on our outstanding benefits, visit USAA Total
Relocation assistance is not available for this position.
Keywords: USAA, Gastonia , Risk and Compliance Analyst - Testing (Mid-Level), Professions , Belmont, North Carolina
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