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Compliance Risk Specialist
2 weeks ago
Finastra is seeking a highly skilled Regulatory Compliance Analyst to join our growing compliance team. This role will play a key part in the success of meeting our regulatory and compliance obligations.
About Us
Finastra is a leading provider of financial software solutions. We are committed to helping our clients achieve their goals through innovative technology and expertise.
Job Description
The Regulatory Compliance Analyst will be responsible for supporting the client compliance function, including responding to client due diligence compliance questionnaires, ongoing compliance monitoring by regulated financial institutions, participating in client meetings, and facilitating client audits. This role will also involve collaborating with a small team of compliance professionals globally dispersed.
Key Responsibilities
- Day-to-day support of the client compliance program
- Collaborating with a small team of compliance professionals that are globally dispersed
- Support of client audits and audit requests, including requesting and preparing materials, arranging logistics, coordinating meetings, facilitating communication, and development of responses,
- Management of client assessments to ensure timely and appropriate responses
- Evaluate and escalate client compliance issues as appropriate
- Track metrics on utilization of material and client support cases
- Ensure that standard due diligence and ongoing monitoring material is accurate and up to date
- Communicating with customers, including through meetings, as required
- Track the expiration/refresh dates of all client due diligence material. Obtain and follow-up as necessary to ensure timely receipts of client due diligence updates. Update the product specific files within the client due diligence portal
- Provide necessary reporting to internal and external stakeholders on a regular cadence on the status of the program and priorities.
- Stay current with technology trends
- Review compliance with security requirements pertinent to customer contracts
- Maintain a knowledge base of responses to commonly asked questions.
Required Experience
- Have at one to three (1-3) years of work experience related to Compliance, Third Party Risk Management, Vendor Risk Management, Audit, Customer Technical Support, Risk Management, and/or Procurement, particularly in financial services.
- Familiar with risks related to IT application development and infrastructure maintenance, IT security, business continuity and disaster recovery, and emerging technology platforms - mobile device platforms, cloud services, Big Data, and social media.
- Strong understanding of vendor risk management practices, including the lifecycle of risk identification, treatment, mitigation, acceptance, remediation as well as inherent and residual risks.
- Knowledge and experience with laws, regulations, guidelines, and frameworks within the financial services industry that mandate information security and information risk management requirements such as FFIEC, NIST, ISO27001, GLBA, OCC Heightened Standards, and etc.
- Experience with privacy laws such as CCPA and GDPR.
- Experience triaging and prioritizing in-coming client requests.
- Experience writing SOPs, process flow charts and overview documents
- Ability to perform research to provide material and evidence with internal and external inquiries.
- Coordinate with customer audits
- Assist with crafting high-quality presentations and reports, conveying sometimes complex topics to several levels of management internally and with clients.
- Tenacity with strong follow-up skills.
- Strong ability to multi-task and works well under pressure
- Executive presence and always exhibits professionalism with clear written and oral communication skills.
Preferred Experience/Skills
- Degree in the fields of Information Systems, Business Administration, or related major and possesses strong pragmatic business acumen.
- Professional technical certification such as Certified Information Security Manager (CISM), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certified in Risk and Information Systems Control (CRISC), Certified Regulatory Vendor Program Manager (CRVPM) or Certified Third Party Risk Professional (CTPRP) preferred.
- Experience working in financial services and/or financial technology (FinTech) industries.
- Experience designing, implementing and working with data analysis and visualization tools, such as Power BI or Tableau and Expertise with Microsoft Excel and/or Word.
Shift Timing: 2PM-11pm (IST)
