Associate ll, Investment Risk Ops.

At FNBO, our employees are the heart of our story-and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success.

About This Role:

Key Accountabilities:

Risk Management: Support the Wealth Risk Management team in the design, implementation and continued improvement of the risk management program for FNA and related business activities. Identify opportunities for improvement in the overall risk oversight, processes, and controls. Perform risk management testing and oversight of controls, processes, and implementation of policies and procedures. Assist with follow up on exam items, regulatory updates and testing results, as needed.

Review and monitor adherence to departmental policies and procedures to ensure compliance with regulatory requirements. Perform oversight and monitoring activities for FNA and related business activities. Report QC/monitoring results to BU management and Business Partners. Assist with risk-based oversight of processes related to FNA activities. Help business unit implement and monitor risk review processes including Risk Self Assessments, risk control processes, and testing as assigned. Document findings and monitor corrective action to ensure issues are addressed. Actively review and test processes to identify gaps or control issues in policies and procedures, as assigned. Coordinate with the business to draft and compile various Committee agendas, packets, and minutes. Maintain data and review submissions related to FNA's Code of Ethics.

Policies & Training: Understand and adhere to all policies, laws, and regulations applicable to role (including OCC, SEC, and FINRA).

• Complete compliance training; follow internal processes and controls as required.
• Understand and adhere to all bank policy, and laws and regulations applicable to role.

• Ensure initial and periodic training is completed and comply with bank policy, laws and regulations applicable to role.
• Ensure adherence to business unit compliance requirements in business development materials and process documents.
• Report all issues, violations of law or regulations in accordance with the business unit compliance standards.

• Understand and adhere to all of the accountabilities listed above specifically related to Anti-Money Laundering and the USA Patriot Act.

The Ideal Candidate for This Role:

Minimum Qualifications:

Knowledge, Skills and Abilities

• Knowledge of fiduciary and investment laws and regulations, including (but not limited to) the Securities Act of 1933 and the Securities Exchange Act of 1934

• Strong interpersonal skills, including the ability to build collaborative relationships, listen and actively contribute to discussions.
• Ability to work independently and present recommendations to several organizational audiences.
• Strong communication and collaboration skills, including the ability to work effectively with others at all levels across the organization
• Strong work ethic with the ability to self-manage, consistent productivity and ability to propose solutions based on analysis completed
• Ability to work cross functional
• Organizational skills that include planning, critical thinking, and attention to detail
• Strong Problem-solving skills
• Ability to work independently and with senior level business unit managers
• Strong analytical skills with high attention to detail and accuracy
• Ability to exercise independent judgment and creative problem-solving techniques
• Ability to articulate complex concepts in a clear manner

Job Requirements

• 3-5+ years in wealth management or RIA risk/regulatory compliance field, or industry background.
• Effective project management, facilitation and presentation skills.
• Strong oral and written communication skills.

• Proficient in Microsoft Word, Excel, PowerPoint, Outlook, and Teams

Compensation:

This role may have a specific starting pay within this range.

Final compensation offer to candidate may vary from posted hiring range based upon work experience, education, and/or skill level.

Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:

• Medical, Dental, Vision Insurance

• 401k, With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Disability Insurance

Learn more about FNBO benefits here: https://www.fnbo.com/careers/benefits/.

For additional information regarding compensation and benefits, e-mail FNBO at TAGAdmin@fnni.com. To ensure you receive a response, include the number of this job (listed below) in the subject line of your message.

Equal Opportunity & Belonging:

FNBO believes that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves-no matter their role or where they are in their journey.

Learn more here.

FNBO is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.

Click here to download 'EEO is The Law' Self-Print Poster

Click here to download 'EEO is The Law' Supplement for Federal Contractors

Click here to download 'EEO is The Law' GINA Supplement

FNBO is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC

FNBO follows federal law regarding the use of marijuana (this applies to all non-California applicants)

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.