Full-Time

Compliance Risk Manager Senior-Broker Dealer Compliance

Posted on 11/19/2024

USAA

USAA

10,001+ employees

Financial services for military members and families

Fintech
Financial Services

Compensation Overview

$90k - $172kAnnually

+ Pay Incentives

Senior

Tampa, FL, USA + 5 more

More locations: Colorado Springs, CO, USA | Plano, TX, USA | Charlotte, NC, USA | San Antonio, TX, USA | Phoenix, AZ, USA

Requires onsite presence in San Antonio, Plano, Phoenix, Colorado Springs, Charlotte, or Tampa for four days per week.

Category
Risk Management
Finance & Banking
Required Skills
PowerPoint/Keynote/Slides
Requirements
  • Bachelor's degree and 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
  • 6 or more years relevant experience in compliance, risk, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role.
  • Demonstrated experience working in a highly regulated environment.
  • Advanced knowledge in a specific area of compliance laws, regulations, and regulatory expectations.
  • Demonstrated ability to apply advanced knowledge of regulatory compliance to consult and provide insight and guidance.
  • Advanced knowledge of Microsoft Office tools to include Word, Excel, and PowerPoint.
  • Experience providing guidance and standard methodologies to team members.
  • Securities license 7 and 24.
  • Experience working and communicating with regulators.
  • Familiarity with FINRA rules and requirements.
  • Testing or Audit experience in financial services.
  • US military experience through military service or a military spouse/domestic partner [optional]
Responsibilities
  • Provides guidance to the business to ensure documents, projects, processes or product initiatives align with regulatory and legal requirements and enterprise policy.
  • Synthesizes analyses, identifies root cause(s) of potential compliance risk, provides recommendations that influence business solutions and validates resolution.
  • Responsible for project management by leading and influencing cross functional enterprise or compliance teams.
  • Reviews implementation planning for new laws and regulations and ensures appropriate parties have been engaged.
  • Conveys information and position clearly, concisely, logically and in an organized manner.
  • Implements compliance risk management activities in accordance with enterprise compliance policies and procedures.
  • Serves as a resource to team members on called out issues.

USAA offers financial services tailored for the military community, including active-duty members, veterans, and their families. Their products include competitive auto, home, life, and health insurance, as well as banking services like checking accounts, loans, and retirement planning. USAA's membership model ensures focused service, as only military members and their families can join, allowing the company to understand their specific financial needs better. The goal of USAA is to promote financial wellness and provide resources that help members manage their finances effectively.

Company Stage

N/A

Total Funding

N/A

Headquarters

San Antonio, Texas

Founded

1922

Simplify Jobs

Simplify's Take

What believers are saying

  • USAA's investment in digital tools enhances customer experience and satisfaction.
  • The 'Connect with a Veteran' movement boosts brand loyalty and community engagement.
  • USAA's expansion in San Antonio indicates a commitment to growth and operational enhancement.

What critics are saying

  • Recent layoffs suggest potential financial or operational challenges affecting service quality.
  • OCC's reprimand highlights regulatory compliance issues that could lead to operational restrictions.
  • The lawsuit alleging breach of contract could result in financial liabilities and reputational damage.

What makes USAA unique

  • USAA exclusively serves military members, veterans, and their families, ensuring specialized services.
  • The company offers competitive auto insurance rates and banking services with no monthly fees.
  • USAA's leadership team, with military backgrounds, aligns closely with its mission and values.

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