The Lead First Line Risk Management, Technology will report to the Director, First Line Risk Management, Technology and provide support for exams, audits and assessments that include and impact technology, requiring coordination across multiple technology departments. Early Warning provides technology that is critical to the US financial system and as such ensuring our compliance to regulatory oversight is key to our success.
Overall PurposeThis position is key to successful audit and exam outcomes for EWS. It is primarily responsible for the managing and handling of requests from external regulators, internal and external auditors, and Compliance by engaging and coordinating with key stakeholders in the business line you support and across the organization. A key additional responsibility is proactively identifying controls and documentation that align with regulatory expectations, internal policy and organizational best practices and ensuring their efficient archival and retrieval.
Essential Functions- Manage internal and external audits and regulatory exams: suggest/provide appropriate materials; work across business lines to gather, coordinate and standardize documentation; obtain leadership approval; monitor to ensure on time delivery of documentation to regulatory agency or auditor.
- Ensure relevance, accuracy, and completeness of provided materials against requests; provide guidance and revision recommendations for deliverables that are not meeting requirements
- Continuously identify and implement efficiencies in coordination with the Compliance Regulatory Relations Program
- Work with Compliance and the Business to implement program, process, and/or documentation changes when laws or regulations are introduced or changed, as well as when there are learnings from external litigation
- Assist in comparing controls, policies, procedures, work instructions, and other internally generated documentation to regulations and exam manuals; work with the appropriate team to submit self-identified issues relative to any gap identified
- Design and conduct audit readiness and audit preparedness activities in advance of internal and external audits, to reduce the number of audit findings
- Identify and support the documenting, structuring, updating, and archiving of materials that will likely be requested for audits and exams; review and analyze historic audit and exam data requests, findings, and other information; identify opportunities to reuse materials.
- Review updates to policies, procedures, and systems, make recommendations based on regulatory and audit/exam requests and findings
- Complete projects in support of regulators, auditors, and the compliance department
- Regularly report status to leadership including any issues
- Track and report status of remediation work by owners of exam and audit findings
- Support the company's commitment to risk management and protecting the integrity and confidentiality of systems and data
Minimum Qualifications- Five years' experience actively leading external exams and audits (OCC, CFPB, PCI DSS, SOC2, etc.), and internal audits
- Experience in security, governance, risk management, IT audit, information technology, or related
- Knowledge of key laws, regulations, frameworks (including the Cyber Risk Institute (CRI) framework) and guidance in the financial services industry
- Experience with Onspring, Jira, Service Now or other GRC and workflow tools
- Typically, 8 or more years of related experience
- Ability to establish and maintain productive relationships between various leaders, departments, and partners across the organization and externally.
- Strong organizational and project management skills, including ability to prioritize multiple simultaneous projects.
- Resourceful and able to leverage internal relationships to obtain quick engagement.
- Education and/or experience typically obtained through completion of a bachelor's degree or equivalent work experience
- Background and drug screen
Preferred Qualifications- Knowledge of key laws, regulations, frameworks, and guidance in the financial services industry typically gained through five or more years in a compliance or risk management role
- Certification as a Certified Information Systems Auditor (CISA) or prior GRC, Information Security & Technology Consulting, or Advisory experience with leading consulting firms such as KPMG, Deloitte, E&Y, PWC is highly desirable.
Physical RequirementsWorking conditions consist of a normal office environment. Work is primarily sedentary and requires extensive use of a computer and involves sitting for periods of approximately four hours. Work may require occasional standing, walking, kneeling, and reaching. Must be able to lift 10 pounds occasionally and/or negligible amount of force frequently. Requires visual acuity and dexterity to view, prepare, and manipulate documents and office equipment including personal computers. Requires the ability to communicate with internal and/or external customers. Employee must be able to perform essential functions and physical requirements of position with or without reasonable accommodation.
Candidates responding to this posting must independently possess the eligibility to work in the United States at the date of hire.
The above job description is not intended to be an all-inclusive list of duties and standards of the position.
The base pay scale for this position in:
Phoenix, AZ/ Chicago, IL / Washington, DC in USD per year is: $104,000 - $130,000.
New York, NY/ San Francisco, CA in USD per year is: $125,000 - $156,000.
Additionally, candidates are eligible for a discretionary incentive plan and benefits.
This pay scale is subject to change and is not necessarily reflective of actual compensation that may be earned, nor a promise of any specific pay for any specific candidate, which is always dependent on legitimate factors considered at the time of job offer. Early Warning Services takes into consideration a variety of factors when determining a competitive salary offer, including, but not limited to, the job scope, market rates and geographic location of a position, candidate's education, experience, training, and specialized skills or certification(s) in relation to the job requirements and compared with internal equity (peers). The business actively supports and reviews wage equity to ensure that pay decisions are not based on gender, race, national origin, or any other protected classes.
Some of the Ways We Prioritize Your Health and Happiness
- Healthcare Coverage - Competitive medical (PPO/HDHP), dental, and vision plans as well as company contributions to your Health Savings Account (HSA) or pre-tax savings through flexible spending accounts (FSA) for commuting, health & dependent care expenses.
- 401(k) Retirement Plan - Featuring a 100% Company Safe Harbor Match on your first 6% deferral immediately upon eligibility.
- Paid Time Off - Flexible Time Off for Exempt (salaried) employees, as well as generous PTO for Non-Exempt (hourly) employees, plus 11 paid company holidays and a paid volunteer day.
- 12 weeks of Paid Parental Leave
- Maven Family Planning - provides support through your Parenting journey including egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and returning to work.
And SO much more! We continue to enhance our program, so be sure to check our Benefits page here for the latest. Our team can share more during the interview process!
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
