Investments Organizational Risk Lead Consultant
- Career Level
- Not Specified
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Job Family Summary:
The Compliance Department of Allstate Investments provides regulatory and operational compliance services to both a Securities and Exchange Commission registered and unregistered investment adviser. The Compliance Department creates, implements, administers and enforces policies, procedures and activities required for the advisers to maintain compliance with regulatory requirements.
The Compliance Lead Consultant assists the Compliance Department, the Investments business unit and senior leadership with enhancing and managing operational risk management for Investments. This includes driving transparency and oversight to operational risks, expanding the operational risk framework, and self-evaluating the program maturity within Investments.
- Assist with integrating the enterprise operational risk framework into Investments, including developing dashboards and other communications for the CCO, CRO and Operating Committee oversight.
- Assist in evaluating the processes for managing operational risks, leveraging a risk-based approach to prioritization.
- Performs periodic risk assessments, reviews and tests to ensure successful implementation of operational risk management policies and procedures through surveillance, monitoring, and examinations.
- Develops, coordinates and performs forensic testing on operational compliance areas.
- Investigates and collaborates with others (as needed) to resolve routine and semi complex compliance issues.
- Proactively assesses routine and semi complex compliance or operational risks and develops risk mitigation strategies.
- Manages critical compliance related ad-hoc and special projects from inception to implementation.
- Prepares management and governance reports regarding compliance issues, investment limits, and operational concerns.
- Responds to inquiries and questions pertaining to routine and semi complex compliance policies and procedures and topics.
- Bachelors degree and a minimum of 6+ years relevant compliance experience within operational risk management, corporate compliance or internal or external audit functions.
- Ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high quality work in a fast-paced environment.
- A high degree of discretion and confidentiality.
- Team player with strong organizational, interpersonal and communication skills.
- Strong work ethic, initiative, and a proactive approach.
- Ability to identify, document and mitigate potential compliance-related issues.
- Excellent written and oral communication skills.
- Consistently demonstrate a positive mindset and behavior.
- Project management
The candidate(s) offered this position will be required to submit to a background investigation, which includes a drug screen.
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As a Fortune 100 company and industry leader, we provide a competitive salary but thats just the beginning. Our Total Rewards package also offers benefits like tuition assistance, medical and dental insurance, as well as a robust pension and 401(k). Plus, youll have access to a wide variety of programs to help you balance your work and personal life -- including a generous paid time off policy.
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