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Business Risk and Controls Advisor II

Company: USAA
Location: Sunnyvale
Posted on: August 2, 2020

Job Description:

Purpose of Job This Risk & Controls position will support Enterprise Advice Group’s (EAG) Business Operations, Risk, and Controls team. Some of this role’s primary responsibilities include identifying risks in EAG’s workstreams and operational processes, developing controls to mitigate EAG’s risk, conducting control tests, and serve as the process and access expert for the Advice Points of View Repository. In addition, this role may partner with other team members on efforts to include facilitating documentation and monitoring EAG’s issues in the MetricStream system, developing action plans to resolve EAG issues, governance of EAG tool processes and EAG standard operating procedures, administer and review the Enterprise Advice Tool Certification.

Positioned in the first line of defense to ensure the overall effectiveness 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 control effectiveness, identifying control failures, facilitating risk and compliance remediation, internal and external audits and regulatory exams, and monitoring of the first line of defense to minimize risk exposures and strengthen the overall control environment. Leverages risk assessment data and identifies key data-driven insights tied to first line of defense. Job Requirements About USAA

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.

In each of the past five years, we've been a top-40 Fortune 100 Best Companies to Work For®, and we've ranked among Victory Media's Top 10 Military Friendly® Employers 13 years straight. We embrace a robust veteran workforce and encourage veterans and veteran spouses to apply.

USAA Careers - Award Winning Workplace (17 seconds)

USAA Careers – World Class Benefits (31 seconds)

Identifies and manages existing and emerging risks that stem from business activities and the job role.

Ensures risks associated with business activities are effectively identified, measured, monitored, and controlled.

Follows written risk and compliance policies and procedures for business activities.

Manages routine deliverables in support of risk and/or regulatory compliance related initiatives: 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 of established business controls and applies maturing knowledge to perform root cause analyses, testing coordination and seeks guidance from team members to evaluate the effectiveness of established business controls.

Performs risk data analysis, report preparation and trend analysis, utilizing business intelligence tools.

Learns to translate control deficiencies into action plans. Contributes to the enhancement of governance practices in alignment with risk and compliance frameworks.

Partners with business owners to assist them in the identification of control failures and assesses the impact.

Participates in the remediation of control deficiencies through action plan coordination and support.

Advises senior management on the status of their control environment related to risk identification and control weaknesses, as necessary.

Follows documented processes to escalate issues and findings to appropriate stakeholders.

Acquires and applies a developing knowledge of changes to the regulatory environment to ensure proper compliance with processes and requirements are followed.

Minimum Requirements:

Bachelor's Degree or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.

2 years of experience supporting risk and/or compliance-related activities in a financial services operating environment or other relevant industry or 2 years of experience in a relevant quantitative discipline or advanced degree or designation in a risk management or quantitative discipline.

Preferred Requirements:

1.5+ years of experience with coordinating compliance reviews for Advice articles and content

1 year project management (entry level) experience.

1.5+ years of experience with Financial Readiness and Military digital advice experiences

1.5+ years of experience of establishing strong business relationships (ie: Risk, Compliance, Legal, and LOBs)

1.5+ years of experience working in MetricStream, Box, and Adobe Acrobat

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 package 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.

Relocation assistance is not available for this position.

Keywords: USAA, Sunnyvale , Business Risk and Controls Advisor II, Other , Sunnyvale, California

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