The Compliance Program Oversight Manager is responsible for the supervision of a team engaged in preparation of the quality control ("QC") review strategy, and executing quality control reviews as defined in the QC Strategy. The Compliance Program Oversight team conducts end-to-end quality control reviews of the Compliance Risk Management (CRM) function to evaluate the execution of the Global Compliance Enterprise Policy requirements. It reviews focus on integration of all elements of the Policy, span of coverage, completeness and quality of execution and the implementation of an adequate control environment, defined as follows:
- Identification of processes and related risks and controls.
- Determination of applicable regulatory requirements related to activities.
- Adoption of processes and controls to comply with applicable laws, rules and regulations and their impact on relevant processes.
- Implementation and active management of procedures and controls to reflect policy requirements.
- Measurement, monitoring and reporting on the effectiveness of the control environment.
- Oversight of the mitigation of risks and remediation control gaps.
Specific responsibilities may include:
- Oversee periodic QC reviews across Global Compliance and drive the publication of findings to promote consistent and effective execution of the Compliance Policy and CRM Program.
- Ensure review reports and summaries of issues, mitigation plans and appropriate escalations are delivered and approved.
- Understand and translate the CRM policy requirements, key performance drivers, business trends, and regulatory changes that define successful compliance risk management to a program oversight team.
- Plan, execute and lead QC reviews in accordance with the Quality Control Review Program procedures and Annual QC Plan.
- Formulate observations, findings and overall review ratings based on analysis and aggregation of QC Test Script results.
- Review, inspect and approve QC review deliverables of QC team to ensure compliance with Program Oversight QC review procedures in alignment with Corporate Operational Risk requirements from the Independent Testing Policy.
- Review and approve supporting documentation (e.g. work papers) processes and standards to ensure effective oversight and enable repeatability and reproducibility by Corporate Audit and External Examiners.
- Communicate with Compliance Training, Corporate Compliance and Independent Testing to ensure QC findings are translated into specific improvement in process, training, communications and enhanced testing as needed.
- Consult with Corporate Audit and External Examiners to ensure approach and deliverables are aligned with their requirements.
- On-board, train, and manage performance and development of staff.
- Provide leadership direction, and attract, assess, develop, motivate and retain a successful team.
- Routinely evaluate the effectiveness of Program Oversight internal processes and provide process improvement feedback.
Additional responsibilities include:
- Participate in periodic reviews across Global Compliance and drive the publication of findings to promote consistent and effective execution of the Global Compliance Enterprise Policy and CRM Program
- Create high quality reports and summaries of issues, mitigation plans and ensure appropriate escalations are delivered and approved
- Understand Policy requirements, key performance drivers, business trends, and regulatory changes that define successful compliance risk management to a program oversight team
- Contribute to QC reviews in accordance with the quality control Review Program procedures and Annual QC Plan
- Gather data to formulate observations, findings and overall review ratings based on analysis and aggregation of QC Test Script results
- Create QC review deliverables as prescribed by internal processes and procedures
- Produce supporting documentation (e.g. work papers) for review by Corporate Audit and External Examiners
- Minimum 7 Years Experience
- 7 years Audit or Q/A experience
- Bachelors Degree or equivalent Required
- Must have pior experience identifying processes and related risks and controls
- Experience planning, executing and leading QC reviews
- Controls background or experience
- Strong executive presence
- Additional Technical/Functional Experience (e.g. Industry type): Financial Service, audit process engineering, other process management, quality assurance, or other process control functions
- Desired Certifications: · TQM (Total Quality Manager)
- CFE(Certified Fraud Examiner)
- CIA (Certified Internal Auditor)
- CISA (Certified Information Systems Auditor)
- CPA (Certified Public Accountant)
- Six Sigma Greenbelt · Six SigmaBlack Belt.
Job number: 18028674