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Enterprise Advisor - Santa Clara CA : 18-01226
Ref No.: 18-01226
Location: Santa Clara, California
Primary Skills: Risk Management, Governance, Compliance, Audit
Duration: 6+ Months
Contract Type: W2 only

  • The individual must be able to provide compliance guidance that balances both regulatory requirements while meeting business objectives.
  • Provide subject matter expertise with regard to relevant laws and regulation and their impact on operations, services, and products, including the development and implementation of industry leading solutions
  • Must be able to identify applicable compliance requirements, and articulate those requirements to the business unit.
  • Collaborate with international colleagues to implement enterprise-wide programs, and ensure consistency in standards.
  • Communicate with business partners verbally, and in writing, regarding regulatory expectations. This includes providing advice and guidance to the first line of defense on its controls to reduce the inherent risk.
  • Partner with the business unit in preparation for internal audits and examinations, including any remediation resulting from audits and exams.
  • Develop reporting metrics for Senior Management to show insight into the state of compliance for enterprise regulations, and monitor business unit metrics.
  • Participate and provide effective challenge to the Risk and Governance team on the Fraud, Compliance, and AML risk assessments.
  • Develop enterprise-wide compliance policies, and review business unit procedures that role up to the enterprise policies.
  • Review and provide training to the business unit on regulatory requirements.
  • Provide recommendations for implementing controls and other risk mitigation measures to addresses existing and emerging risks as well as related regulatory requirements.
  • Minimum of 7-10 years of banking, risk management, or audit experience with a minimum of 5 years of experience related to financial crimes or compliance management processes.
  • Knowledge of the risk and governance standards such as COSO framework, and the OECD and Basel Corporate Governance Principles.
  • Familiarity with Commercial Banking Deposit and Lending related regulations such as Vendor Management, CAN-SPAM, BCP, and Social Media Guidance.
  • Strong understanding of the Compliance Management Systems and the regulatory frameworks that apply to financial institutions.
  • Good understanding of regulatory requirements that apply to the financial services sector and banking operations.
  • Partner with Compliance Monitoring to help develop testing programs that address regulatory exam findings, internal audit findings and gaps to help reduce compliance risk across the organization
  • Must possess a bachelor's degree in Business Administration, Accounting, Finance or equivalent.

   Please Apply directly with your updated resume and Contact Shabana at : 408-907-2246