Sr Audit/Compliance Analyst

Description:

• Assist the Business Control & Risk Management team in driving effective and consistent business line execution against the Enterprise Risk Management Framework.
• The role will be responsible for managing and supporting SOX examinations (internal & external), and all stakeholders involved.
• The role will involve collection, review, and analysis of control performance data and metrics, and remediation action plans as applicable.
• The role will also involve working with a variety of stakeholders at senior levels located throughout Groups US operating entities.
• This position will be exposed to all various aspects of Technology, including but not limited to network security, access management, cyber security, IT architecture, IT resiliency, software development lifecycle, disaster recovery, infrastructure engineering, and all other aspects of IT management.
• This position will involve oversight and understanding of Groups US operating entities, including their respective lines of business and corporate functions, as well as participation in all facets of management of examinations and reviews of Groups US operating entities.
• Advanced knowledge of applicable US laws and regulations and financial services industry regulators is a plus.

Responsibilities:

• Manage examinations, audits, and reviews on behalf of the Technology organization, specifically IT SOX audit
• Management of all key stakeholders throughout Technology examination, audit, and review; including the auditors/regulators
• Work with various stakeholders to evaluate action plans, and remediation actions
• Collaborate with various teams to identify, assess, and validate various Technology risks and controls before, during and after examinations, audits and/or reviews
• Keep abreast of legal and regulatory matters affecting the US financial services industry, the regulatory environment, and potential impact on Groups US operating entities
• Compile, analyze, and review quantitative and non-quantitative regulatory risk management information from Groups US operating entities
• Partner with Second Line of Defense to provide input/review of relevant frameworks, policies, and standards.
• Drive Risk Culture: Facilitate awareness of, and adherence to, risk frameworks, policies, and standards through internal validation and issue/risk management.
• Continuously monitor all sources of risk existing within Technology, and externally; while utilizing research, networking, and experience to anticipate critical risks and issues impacting Technology

Education/Work Experience:

• Bachelor's Degree or equivalent work experience in Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics, or equivalent field.
• Risk Management, Internal Controls, IT Auditing, relevant line of business experience and/or legal or regulatory experience., 5+ years

Skills and Abilities:

• Demonstrated experience supporting and/or leading risk projects across multiple business lines offering a wide variety of financial services products and services.
• Knowledge of applicable laws and regulations and financial services industry regulators
• Understanding of banking operations and the financial services regulatory and risk management environment
• Ability to build credibility with, collaborate with, and influence line of business executives.
• Excellent analytical and complex problem-solving skills.
• Strong project management skills.
• Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
• Ability to build internal and external networks of information resources within the risk management ecosystem.
• Excellent oral and written communication and presentation skills
• Advanced PC (MSWord, Excel, Access, PowerPoint) skills

Top Must-Have Requirements:

• 5+ years of experience
• IT Risk Management experience
• IT Audit experience
• SOX IT controls

Nice-to-Haves:

• Bilingual in Spanish/English (not required, but would be a plus)