Internal and External Review Coordinator

**Responsibilities**:
Participates from inception through implementation, in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
Utilizes Issue Management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
May support any area of the business (organizationally, regionally or product-wise) from an issue/project perspective; regular engagement with Senior Business Level Officers, Legal, Risk, and Compliance regarding complex matters.
Initiates and develops relationships with others throughout the business unit and the company in order to identify and understand business needs
Implement solutions to improve effectiveness and results
Ensure a culture of accountability, integrity and respect
Works issues/projects as assigned to support improvements
Identify and analyze escalated problems and provide guidance for resolution
Negotiate solutions and acts as a liaison with internal and external clients
Monitor, research and evaluate technological advances in the industry to identify appropriate alternatives for enhancing current department operations
Evaluate cost/benefits, make recommendations, develop and oversee implementation plans
Provides judgment based on analysis of factual information in complicated and unique situations
Directly impacts the area through shared responsibility for delivery of end results
Implement and develop controls to prevent risk within specialized business
Analyzes and identifies risk and performs analytical reporting
Acts as a consultant to the businesses regarding processes & controls
Drives corrective actions
Provides support to business activity owners and Third Party Risk and Control functions
Coordinates and assists with onsite reviews
Completion of compliance documentation and on boarding activities relevant to compliance due diligence.
Has the ability to operate with a limited level of direct supervision.
Can exercise independence of judgement and autonomy.
Acts as SME to senior stakeholders and /or other team members.

**Qualifications**:
5-8 years of control and/or project experience
High attention to detail and quality
Demonstrated analytical and problem-solving skills.
Effective planning and organizational skills
Proficient in Microsoft Office with an emphasis on MS Excel
Consistently demonstrates clear and concise written and verbal communication skills
Proven ability to make sound business decisions
Experience in creating and implementing processes that result in improved business performance
Ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view

**Required Licensing/Registration**: Series 7, Series 9, Series 10, Series 24,

**Education**:
Bachelor’s/University degree or equivalent experience

Job-Specific Requirements

**Responsibilities**:

- Defines and executes the implementation of operating standards for internal/external audits, reviews, and examinations during planning, fieldwork and closing.
- Ensures the highest level of performance in audit reviews by performing the following actions:

- Based on criticality, develops audit readiness plans 30/60/90/180/360 days before the audit start day.
- Manage compliance plan for key applicable policies and procedures, including EUC, MRM, MCA, RMP, CoB, EERs, Mandatory Absence, Anti-Bribery, etc.
- Develops a preliminary Risk Control Matrix based on information gathered from previous reviews, issues raised on similar businesses, and the state of the Managers Control Assessment from the business.
- Governs execution of communications, management routines, and escalations throughout the life cycle of the review.
- Manages the lessons learned process for all audits, including post-mortem reviews, to improve performance for future reviews.
- Develops audit-specific training materials, and trains key business stakeholders prior to the review.
- Reports Cluster audit status at least on a weekly basis and promptly escalates concerns, slipping deliverables, issues, and audit observations.

Additional Qualifications
- 5+ years of prior experience in regulatory compliance related work - Internal Audit, Risk management, Internal Procedures and Controls (required)
- Proven ability to work cross-functionally exercising leadership through influence, persuasion, and negotiation.
- Exemplary thought leadership skills; able to build and lead strategic initiatives
- Excellent relationship management skills
- History of interactions with both Internal and External Regulators
- Process and Product Improvement Methodologies, including Agile, Six Sigma, Lean (highly desirable)
- Outstanding Project Management Skills
- Creative design of impactful PowerPoint presentations

Additiona