Senior Compliance Program Lead (Risk Management)

JOB TITLE: Senior Compliance Program Lead (Risk Management) LOCATION: New York Main Skills Senior Compliance Program Lead Risk Management group Risk Manager or Manager of Risk Management Background Lead Program in Designing Risk Management Policy, Assessments creation etc. for Bank Operations Also be familiar with Internal audit, SOX testing, internal controls testing Lead Sox test, Anti- Fraud Testing all in Bank operations. Will manage risk for internal audit, Sox, anti-fraud, internal controls etc. Position Description Day-to-day management of the Bank’s Compliance Programs (e.g., Sarbanes Oxley Program, Anti-Money Laundering Program, Fraudulent Financial Instruments Program, Internal Fraud Program, etc.) and Climate Risk. Education * Prepare and administer the annual SOX plan which includes preparation of the financial statement mapping, top down assessment (including risk ranking processes and controls), and annual SOX project plan. * Lead walkthroughs with business units to create internal control documentation related to the identification of key control points with the use of narratives and process/data flows. * Lead SOX and other internal control reviews to evaluate the design and operating effectiveness of related controls. This includes the development, execution, and review of control matrices and test plans, as well as the performance of controls. * Review work products of team members ensuring appropriate documentation, audit and testing evidence, conclusions, and adherence to department standards. * Point of contact with the external auditor to complete SOX testing and reporting. * Administer the Bank’s Anti-Fraud programs including Anti-Money Laundering, Fraudulent Financial Instruments, and Internal Fraud. This includes responsibility to research, interpret, and summarize regulatory requirement; work with internal teams to implement those requirements, develop and maintain project plan, complete reviews and testing of programs, report on the status and effectiveness of the programs, and build a strategy and roadmap to develop/enhance the overall programs. * Oversight of Bank’s Enterprise Risk Management Climate risk program. Establish a framework by incorporating climate risk considerations into the ERM framework to recognize & manage risks related to climate change. Evaluate all regulatory requirements and ensure compliance; liaise with subject matter experts across the Bank to identify, quantify, manage and respond to latent & emerging climate risks. Integrate climate capabilities into existing risk framework. * Identify and evaluate internal control deficiencies, as well as efficiency and effectiveness opportunities, provide recommendations for improvement, and monitor remediation efforts. * Develop management information reports and deliverables. * Stay abreast of accounting, audit, and industry developments and their impact on the Bank’s various Compliance programs. * Assist in the preparation of annual regulatory examinations. * Perform risk assessments and investigate operational incidents as assigned. Other Duties: * Participate in other Operational Risk & Compliance related matters * Plan, execute, and report on additional projects as assigned. * Participate in monthly system wide SOX and compliance meetings. * Perform process analysis to identify weaknesses and suggest improvements. Experience * Must have 6+ years of controls testing experience (i.e., SOX ICFR, ELC, Audit, Compliance). This includes the preparation of scoping documentation (e.g., financial statement mapping, top down assessments, risk ranking processes and controls, etc.) and annual project plan, development, execution, and review of control matrices, test plans, as well as the performance of controls. * Related work experience in an Audit or Risk Assurance function within a Public Accounting Firm (financial industry focus a plus). * Performed reviews of business (i.e., financial, operational, compliance, etc.) and/or Information Technology processes and evaluated the design and operating effectiveness of related controls. * Experience leading audits or SOX reviews. * Created internal control documentation related to the identification of key control points with the use of narratives and process and data flows. * Identified internal control deficiencies, as well as efficiency and effectiveness opportunities, provided recommendations for improvement, and monitored remediation efforts. * Proficient in fraud detection, prevention, and reporting Skills * Demonstrate knowledge of risks and controls related to financial reporting, compliance, and operational processes. * Demonstrate knowledge of US GAAP, SEC reporting requirements, Sarbanes-Oxley Act, PCAOB standards COSO Framework, and Prudential Management and Operations Standards. * Ability to evaluate Compliance, Regulatory and Operational risk issues. * Strong analytical and problem-solving skills. * Planning and organizational skills to successfully manage multiple deliverables concurrently by demonstrating flexibility in prioritizing and completing tasks. * Ability to develop and implement bank-wide policies and procedures as required * Strong and effective written and communication skills. * Ability to comfortably interact across all departments within an organization. * Proficient in Microsoft Office Suite; Excel, Visio, and Access Database skills a plus. Bachelors Degree in Accounting or related field; MBA a plus. CPA or relevant Certifications (e.g., CIA, CISA) a plus

Job Requirements:

Senior Compliance Program Lead Risk Management group Risk Manager or Manager of Risk Management Background Lead Program in Designing Risk Management Policy, Assessments creation etc. for Bank Operations Also be familiar with Internal audit, SOX testing, internal controls testing Lead Sox test, Anti- Fraud Testing all in Bank operations. Will manage risk for internal audit, Sox, anti-fraud, internal controls etc.