Senior Client and Privacy Risk Analyst

About This Opportunity

As a Senior Client and Privacy Risk Analyst, you will be involved in the initial creation and continued execution of a Client and Privacy risk program within the Compliance Program of Orion Advisor Solutions, Inc. Reporting to the Chief Compliance Officer, you will be responsible for monitoring, mitigating, and reporting on risks related the firm’s client base and privacy program. The scope of this includes Orion’s Anti-Money Laundering Program, Customer Identification Program, Identify Theft Prevention Program, Financial Exploitation monitoring, Client Risk, and Privacy. The role requires partnering with internal and external stakeholders including Sales, Operations, Information Systems, and outside vendors. As we continue to evolve and live our Orion values, we are looking for someone to grow with us.

For External Candidates

Candidates must work in-office at one of the following locations for at least 3 days per week: Provo, UT.

For Internal Candidates

All internal employees, regardless of their current work arrangement (remote or in-office), are encouraged to apply.

In This Role, You’ll Get To

• Develop and implement the Orion Enterprise AML Program covering two registered investment advisors, one broker-dealer, and one state-chartered trust company
• Dive deep into the operations of Orion’s wealth management business to identify and surveil for suspicious activity
• Monitor the implementation of the company’s Customer Identification Program and be the point person for identity verification escalations
• Oversee reviews of FinCEN 314(a) information sharing requests
• Develop and deliver role-based AML training
• Act as point person for annual AML testing
• Maintain Orion’s Identity Theft Prevention Program and ensuring Red Flags are identified and resolved
• Act as escalation point for any Financial Exploitation concerns and, in consultation with the CCO, respond to such concerns
• Develop (in consultation with the CCO and business line) and implement a risk-review framework of new advisory firms and advisor representatives to the Orion platform
• Monitor advisory firms and advisor representatives to ensure they meet the firm’s requirements
• Oversee and direct privacy planning and procedure development across Orion Advisor Solutions
• Identify potential areas of privacy vulnerability and risk, develop correction action plans for resolution of problematic issues, provide guidance of risk mitigation, and provide reporting to the Data Protection Officer. Manage responses to Potential Privacy Issues, in consultation with the CCO, Orion’s Legal Department, Information Security Team, and relevant business lines
• Implement the Privacy Incident Response Plan, as needed
• Monitor legal and regulatory activity regarding applicable local, state, and federal privacy laws, rules, and regulations, and coordinate with the legal, information, and business units to implement these requirements
• In coordination with Information Security Team, assist in Vendor Risk Assessments relating to Privacy and AML Risks
• Assist with Data Privacy Impact Assessments for new and existing business lines, products, and services
• Participate in Orion committee meetings to provide privacy-related input when necessary
• Perform other duties as assigned
  
  

We’re Looking For Talent Who

• 5 years of experience in financial compliance, risk, privacy, or anti-money laundering programs
• Ability to prioritize tasks based on importance to drive the success of the business and mitigate the organization’s risks
• Knowledge of the investment advisor industry, operations, and regulatory landscape
• Knowledge of federal and state privacy laws, rules and regulations applicable to investment advisory and fintech business lines
• History of developing new policies and procedures based on changes to regulations or business operations
• Ability to learn and adapt to new systems and processes with limited direct training
• CAMS certification a plus
• Privacy program certification a plus
• Has a minimum of a bachelor's degree, or equivalent work experience
  
  

Salary Range

$67,262.00 - $100,159.00

The pay listed in this posting indicates the estimated pay at the time of this posting; however, may vary depending on geographic location, job-related knowledge, skills, and experience. In addition, Orion offers a competitive benefits package which includes health, dental, vision, and disability coverage on day one, 401(k) plan with employer match, paid parental leave, pet benefits including pawternity leave and pet insurance, student loan repayment and more.

About Us

As One-Orion, we accomplish our best work by being personally accountable to each other and the clients we serve. We are creating a welcoming environment where everyone is respected, valued, and heard. Our willingness to disrupt ourselves, and the industry ensures we stay ahead of client expectations. Thinking differently is in our DNA – we innovate, push boundaries, reject the status quo, and relentlessly pursue transformative outcomes. It is our collective will to win that drives Orion’s success and powers success for our clients and everyone at Orion.