IT Compliance Senior Manager

Essential Duties and Responsibilities

• Helps drive Compliance strategic direction toward Information Technology, Information Security, Data governance, protection, and management.

• Perform risk assessments and monitoring activities to assess the design, completeness, and effectiveness of regulatory obligations.

• Implement formal testing protocols for key risks and controls.

• Monitor regulatory developments and assess applicability to IT and maintain a centralized inventory of regulatory obligations and dependencies.

• Develop, maintain, and enforce IT compliance policies and standards and ensure alignment with enterprise governance structures.

• Maintain policy mappings to regulatory obligations and control frameworks such as NIST, CRI, and FFIEC.

• Promote a culture of compliance through ongoing education and conduct process-specific training for escalated items.

• Report metrics to regional and enterprise committees for visibility and strategic decision-making.

• Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit and external regulators.

• Coordinate with business lines and risk stakeholders to ensure consistent oversight of regulatory obligations.

• Provide strategic guidance to IT teams for implementing regulatory changes and mitigating emerging risks.

• Performs other duties and responsibilities as assigned.

Advanced knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance.

• Rules and regulations of:
  Securities Exchange Commission (SEC);
  Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies;
  Federal Deposit Insurance Corporation (FDIC);
  Office of the Comptroller of the Currency (OCC);
  Federal Financial Institutions Examination Council (FFIEC);
  Office of Thrift Supervision (OTS);
  Federal Reserve System; state banking regulatory agencies.

• Deep understanding of global and domestic regulations governing data privacy, financial services, and IT governance.

• Knowledge of Enterprise Data Management and Data Loss Prevention (DLP) technologies

• Principles of banking and finance and securities industry operations.

Advanced skill in:

• Experience with metrics reporting, scorecards, and dashboards to monitor compliance effectiveness.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

Ability to:

• Design and execute second-line oversight testing programs for IT controls.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings ensuring that all viewpoints, ideas and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• Work under pressure on multiple tasks concurrently, and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships

• Maintain confidentiality.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.