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Director, Compliance and Operational Risk Testing

Location Phoenix, Arizona | Plano, Texas | San Antonio, Texas | Tampa, Florida Secondary Locations Phoenix,Arizona;Plano,Texas;REMOTE,ZZ;San Antonio,Texas;Tampa,Florida; Job ID R0040548 Date posted Nov. 08, 2019 Apply Now

Purpose of Job

As a member of the second line of defense, oversees the execution of independent testing under the Enterprise Testing program methodology to ensure departmental processes and activities comply with applicable rules, regulations, policies and procedures. The incumbent will compile and retain well documented work papers to create accurate and concise written reports including issues, root cause and recommended corrective action.

Job Requirements

  • Provides oversight and manages independent testing plan to ensure compliance with applicable policies/procedures and laws/regulations.
  • Develops and executes a risk-based annual test plan in collaboration with second line control partners.   
  • Oversees operational risk testing activities in accordance with established timelines and high standards of quality. 
  • Oversees the objective reporting and communication of operational risk test findings and remediation of issues to appropriate stakeholders.
  • Prepares and presents executive briefs to internal and external stakeholders.
  • Develops and monitors budgetary and/or operation performance of department resources.
  • Builds and oversees a team of employees for assigned area through ongoing execution of recruiting, development, retention, coaching and support, performance management, and managerial activities.

Minimum Requirements:

  • Bachelor's degree Or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
  • 8 or more years of relevant work experience (internal/external audit, operational risk/compliance testing, quality assurance).
  • 3 years of direct team lead or management experience required.
  • Demonstrated experience interpreting and applying federal and state laws and regulations and guidance or operational risk principles/concepts.
  • Experience working in a highly regulated environment. 
  • Advanced knowledge of testing techniques and data analysis principles, as well as the ability to interpret subsequent results. 
  • Previous experience developing executive briefs and presenting to key internal and external stakeholders. 
  • Demonstrated ability to communicate effectively at all levels of management.
  • Advanced knowledge of Microsoft Office tools to include Word, Excel and PowerPoint.

*Qualifications may warrant placement in a different job level*

When you apply for this position, you will be required to answer some initial questions.  This will take approximately 5 minutes.  Once you begin the questions you will not be able to finish them at a later time and you will not be able to change your responses.

Preferred Experience:

  • Progressive AML/OFAC compliance-related experience executing testing in a complex matrix financial services/banking environment.
  • Strong knowledge of BSA, AML and OFAC laws and regulations.
  • Understanding of key AML functions including transaction monitoring, investigations and suspicious activity reporting.
  • Demonstrated ability to deliver results that meet heightened regulatory expectations.
  • Experience with risk assessments, control analysis and issue management within the areas of Banking, Financial Services, and Insurance.
  • Experience collaborating with key resources and stakeholders, influencing decisions and completing test plans to satisfy internal and regulatory expectations.
  • Professional designation such as CAMS or CRCM.

Relocation assistance is available for this position.

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

Must complete 12 months in current position (from date of hire or date of placement), or must have manager’s approval prior to posting.

Last day to apply to the opening is 11/14/19 by 11:59 pm CST time.

Apply Now

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