The Senior Operations Initiatives Consultant is responsible for leading the development, execution, and maintenance of the first line of defense quality assurance self-monitoring and testing program. Acts in a senior consulting role by identifying operational problems, collaborating with executive management to determine and implement solutions, and managing various projects for Operations Initiatives. Responsible for identifying defects in business processes, investigating workflows, evaluating procedures and controls, and leading initiatives across PPT. Acts as first line of defense in risk mitigation by providing consultation and recommendations to management related to risk exposure and issue resolution. Supports business units to drive improved risk and governance processes, facilitating issue resolution, and partners with second and third line of defense partners to ensure compliance with various policies, standards, and framework expectations. Works closely with business lines and executive management in carrying out the assigned duties, demonstrating independent judgement with a minimal amount of supervision and direction. Performs a wide range of services, some of which are complex and confidential in nature.

RESPONSIBILITIES

• Lead the effort to develop, execute, and maintain a quality assurance and self-monitoring program. Involves creating program, system configuration, and related processes in order to identify and mitigate risk. Using knowledge and expertise, provide consultation, guidance and recommendations to management.
• Establish a testing methodology that includes a testing universe and schedule, planning, execution, and reporting of reviews.
• Ensure that testing is executed within established testing methodology, including comprehensive and accurate testing workpapers to support conclusions.
• Ensure compliance review reports are accurate and sufficient to support issues identified.
• Manage the annual testing schedule and ensure timely completion of compliance reviews.
• Prepare management reports on testing metrics and KRIs.
• Establish an issues management process and ensure adequate follow-up and closure of testing and monitoring issues in accordance with the process.
• Make recommendations for remediation of all identified deficiencies, and track outstanding remediation activity on an ongoing basis.
• Participate in and provide consultation and expertise in regulatory examinations, compliance reviews, and internal audits, including acting as a primary liaison in providing documentation and responding to requests.
• Provide guidance and training to staff as applicable. May involve creating or collaborating with others to create training content and materials.
• Act as first line of defense in risk mitigation by providing consultation, guidance and recommendations to management related to risk exposure and issue resolution.
• Provide support to multiple departments with system and procedural analysis by working with and advising management on controls and process improvements as necessary.
• Identify trends and make recommendations for quality improvement.
• Collaborate with and provide consultation and expertise to various lines of business such as but not limited to Marketing, Application Development, Accounting, Lending, Legal, Enterprise Risk Management and BSA and Treasury Management.
• Participate in various projects, providing subject matter expertise in a team environment. May manage and/or lead projects, including performing project management tasks.
• Support a strong feedback loop between training, business units, compliance to ensure staff and management are aware of results and areas for improvement.
• Share knowledge and best practices across the organization to create consistent/efficient processes that support the Trust in driving improved processes.
• Create, advise, and assist on various companywide training material as needed.
• Other duties as assigned.

QUALIFICATIONS

• 5 years of financial services related experience in retirement accounts, broker dealer, or banking required.
• 5 years of experience in risk, supervision/controls, compliance, quality assurance testing or audit function required.
• Ability to identify internal control deficiencies and recommend potential solutions where appropriate..
• Clear understanding of risks and internal controls and the ability to evaluate and figure out adequacy and effectiveness of controls required.
• Experience with self-directed retirement accounts and alternative asset investments preferred.

A reasonable, good faith estimate of the minimum and maximum base salary or pay for this position is $93,570 to $140,356. Actual compensation will vary based on various factors including but not limited to location, experience, and performance. A discretionary bonus and/or business line incentive may be provided, in addition to a medical and other benefits, dependent on the position. For more information regarding our benefits, please visit

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