Purpose of Job Reviews laws and regulations for business impact and completes risk assessments. Under minimal supervision, performs moderately complex to complex work assignments and problem resolution within a CoSA and enterprise-wide projects. Guides the business on compliance strategy implementation in the pursuit of business solutions.
We are currently seeking talented Compliance Advisor I for our San Antonio, TX facility.
Conducts reviews of laws and regulations for business impact. Completes accurate risk assessments, develops recommendations and coordinates with appropriate counsel.
Serves as a resource to less experienced team members on escalated issues of a routine nature. Utilizes strong leadership skills ininteracting with counsel, customers or team members. Builds processes and relationships that facilitate productive teamwork.
Provides compliance input on business action plans, projects or operational requests. Gathers information, analyzes data trends, identifies root cause(s), and provides information to the business or project teams. Serves as the subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy. Provides industry knowledge and/or skills expertise for work assignments.
Identifies outstanding compliance issues and oversees proper implementation of business requirements. Demonstrates knowledge of how own area links to other key areas of the company and identifies new ways of doing business.
Monitors and assures compliance with regulatory requirements reporting and maintains relationships with regulatory agencies as directed. Coordinate and responds to regulatory requirements and requests. Conducts compliance assessments through self-assessment program and examinations.
4+ years related work experience and accountability for complex tasks and/or projects.
Bachelor's Degree or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
Proven experience in a compliance, audit or risk function.
Understanding of marketing processes and the laws and regulations that apply to marketing.
Self-starter with the ability to perform independent research to identify solutions.
Proficiency with Microsoft Office applications.
Experience working with regulators or regulatory requests.
Proven experience with financial services products and services.
Group 1 certification or the ability to obtain within 1st year in role.
Securities Licenses (such as series 7) .
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.
At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.
USAA also offers a variety of on-site services and conveniences to help you manage your work and personal life, including seven cafeterias, two company stores and three fitness centers.
Relocation assistance is not available for this position.