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

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 provides financial services specifically for the military community, including active-duty members, veterans, and their families. They offer a variety of products such as auto, home, life, and health insurance, as well as banking services like checking and savings accounts, credit cards, loans, and mortgages. Their retirement services include investment options and personalized financial planning. USAA operates on a membership model, allowing only military members and their families to join, which helps them understand and meet the unique financial needs of this community. Unlike many other financial institutions, USAA's leadership team has military backgrounds, reinforcing their commitment to serving their members with a focus on financial wellness and community support.

Company Stage

N/A

Total Funding

N/A

Headquarters

San Antonio, Texas

Founded

N/A

Simplify Jobs

Simplify's Take

What believers are saying

  • USAA's investment in digital tools and platforms enhances customer experience, reflecting its adaptability and commitment to innovation.
  • The company's focus on military appreciation and partnerships, such as with the Frisco RoughRiders, strengthens its brand loyalty within the military community.
  • Despite layoffs, USAA's continued hiring and filling of over 8,300 jobs this year indicate robust growth and adaptation to changing business needs.

What critics are saying

  • The recent layoffs and top-level departures, including the upcoming retirement of CEO Wayne Peacock, could lead to instability and affect employee morale.
  • USAA's poor ratings from the Office of the Comptroller of the Currency in 2023 and 2022 highlight potential regulatory challenges and reputational risks.

What makes USAA unique

  • USAA's exclusive membership model allows it to deeply understand and cater to the specific financial needs of the military community, unlike broader financial institutions.
  • The company's leadership, with many having military backgrounds, ensures a strong alignment with the values and needs of its members, setting it apart from competitors.
  • USAA's commitment to corporate responsibility and community resilience initiatives further distinguishes it as a socially responsible financial services provider.

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