Compliance Risk Manager Senior-Broker Dealer Compliance

Why USAA?

Let’s do something that really matters.

At USAA, we have an important mission: facilitating the financial security of millions of U.S. military members and their families. Not all of our employees served in our nation’s military, but we all share in the mission to give back to those who did. We’re working as one to build a great experience and make a real impact for our members.

We believe in our core values of honesty, integrity, loyalty and service. They’re what guides everything we do – from how we treat our members to how we treat each other. Come be a part of what makes us so special!

The Opportunity

We offer a flexible work environment that requires an individual to be in the office 4 days per week. This position can be based in one of the following locations: San Antonio, TX, Plano, TX, Phoenix, AZ, Colorado Springs, CO, Charlotte, NC, or Tampa, FL. Relocation assistance is not available for this position.

Provides second-line independent oversight and guidance regarding business products, services, and processes through a compliance framework to ensure they are driven in accordance with regulatory requirements. In partnership with the business and key partners, continuously drives a strong culture of compliance and demonstrates integrity and professional judgment in protecting the interests of USAA and its members

What you'll do:

• Provides guidance to the business to ensure documents, projects, processes or product initiatives align with regulatory and legal requirements and enterprise policy.
• Synthesizes analyses, identifies root cause(s) of potential compliance risk, provides recommendations that influence business solutions and validates resolution
• Responsible for project management by leading and influencing cross functional enterprise or compliance teams.
• Reviews implementation planning for new laws and regulations and ensures appropriate parties have been engaged.
• Conveys information and position clearly, concisely, logically and in an organized manner.
• Implements compliance risk management activities in accordance with enterprise compliance policies and procedures.
• Serves as a resource to team members on called out issues.

What you have:

• Bachelor's degree and 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
• 6 or more years relevant experience in compliance, risk, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role.
• Demonstrated experience working in a highly regulated environment.
• Advanced knowledge in a specific area of compliance laws, regulations, and regulatory expectations.
• Demonstrated ability to apply advanced knowledge of regulatory compliance to consult and provide insight and guidance.
• Advanced knowledge of Microsoft Office tools to include Word, Excel, and PowerPoint.
• Experience providing guidance and standard methodologies to team members.

What sets you apart:

• Securities license 7 and 24.
• Experience working and communicating with regulators
• Familiarity with FINRA rules and requirements.
• Testing or Audit experience in financial services
• US military experience through military service or a military spouse/domestic partner [optional]

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

What we offer:

Compensation: USAA has an effective process for assessing market data and establishing ranges to ensure we remain competitive. You are paid within the salary range based on your experience and market data of the position. The actual salary for this role may vary by location. The salary range for this position is: $89,990 - $172,000.

Employees may be eligible for pay incentives based on overall corporate and individual performance and at the discretion of the USAA Board of Directors.

Benefits: At USAA our employees enjoy best-in-class benefits to support their physical, financial, and emotional wellness. These benefits include comprehensive medical, dental and vision plans, 401(k), pension, life insurance, parental benefits, adoption assistance, paid time off program with paid holidays plus 16 paid volunteer hours, and various wellness programs. Additionally, our career path planning and continuing education assists employees with their professional goals.

For more details on our outstanding benefits, please visit our benefits page on USAAjobs.com.

Applications for this position are accepted on an ongoing basis, this posting will remain open until the position is filled. Thus, interested candidates are encouraged to apply the same day they view this posting.

USAA is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.