Compliance Officer

Compliance Officer needed at AllianceOne

AllianceOne believes that our employees are what make us successful and that the quality of service we provide is the key foundation for our continued growth.  Our highly-committed and active management team is second to none in the industry, while our financial stability, global reach, flexibility and technology are equally unsurpassed. 

We are currently seeing a Compliance Officer to assist us with our internal controls.

If you have previous experience working at a bank or other financial institution and love looking for ways to improve processes, analyze gaps and create solutions this could be a great opportunity for you!  AllianceOne is currently seeking a Compliance Officer to work closely with our teams to ensure our internal controls set us up for success.  In this position you will test and review operational processes, policies and procedures to identify possible risk and where necessary work with team members to create solutions to reduce future exposure to risk by errors or non-compliance. 

• Assists in the identification of key operational and regulatory risks by operational process, company policy / procedure, client requirements, product and location.   
• Assists in the determination of what is acceptable risk, and whether any observed and measured risk exposures fall within an acceptable range.
• Prepares and implement analyses of operational and compliance risks
• Maintains the inventory of operational and compliance obligations, determining the enterprise-wide risk rating for each compliance obligation in the inventory associated Management Information Systems (MIS).
• Identifies and records the specific manager or group that has assumed responsibility for operational and compliance obligations during the aggregation process.
• Provides formal reports to management regarding the effectiveness of controls in relation to the internal policies/procedures, client expectations and compliance requirements impacting the business.
• Prepares risk assessment reports and other MIS, and communicates the results to operational and Compliance & Quality Assessment management.   
• Maintains a current knowledge of industry compliance initiatives, requirements and changes pertaining to areas of responsibility and best practice. 
• Complete other responsibilities, as assigned. 

Education and specific Training

 Bachelor's degree in business preferred OR related/equivalent experience in the banking or financial industry

Work experience

 Prior experience in the banking or financial services industry along with a strong knowledge of working with operational risk, compliance and/or internal controls.