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