Business Controls

SAN ANTONIO (SAT)

Brief Summary

Enterprise Compliance and Operational Risk Testing Purpose of Job The Enterprise Compliance and Operational Risk Testing Executive is responsible for the ongoing preparation, testing and monitoring of compliance with government regulations and regulatory agencies for multiple companies across the organization. This position will direct and oversee the evaluation of internal operations, controls, communications, risk assessments and maintenance of documentation as related to regulatory compliance and recommends appropriate changes. This role is a key leadership position within the Enterprise Compliance Program Office and will require collaboration and partnership with other key Compliance Programs across the organization, various control partners, as well as senior leadership. Job Requirements • Leads the development, implementation, management and oversight of a comprehensive risk-based testing program that effectively evaluates compliance controls. Ensures compliance with applicable federal and state regulatory requirements for multiple companies across the organization. • Directs the development of compliance testing methodologies to be utilized for multiple companies across the organization. Responsible for effective methodologies for compliance testing based on results of annual enterprise compliance risk assessments. • Manages a team that leads the timely, accurate design and execution of compliance testing. Oversee testing effectiveness to evaluate and ensure compliance with applicable federal and state requirements of multiple companies across the organization. • Partners with all levels of management to include senior business leaders across the enterprise to report and discuss the status of compliance testing. Provides reporting data on compliance testing to appropriate governance committees across the organization. • Responsible for final review of testing reports prior to issuance that define the scope of testing, describe findings and recommendations, and corrective action. Influences in the interest of the recommendations. • Manages oversight of monitoring activities conducted by multiple Compliance Programs across the organization. • Maintains a strong working knowledge of applicable federal and state laws and regulations applicable to multiple companies across the organization. Represents CLIENT in regulatory examinations as it relates to the Compliance Testing and Monitoring Programs Required • Bachelor Degree Required. 4 additional years of related experience beyond the minimum years of experience required may be substituted in lieu of a degree. • 10 or more years of progressive AML compliance-related experience developing strategies, managing major initiatives and delivering results within a complex matrix financial services/banking environment required. • 4 or more years of people leadership experience in building, managing and/or developing high-performing teams required. • Experience collaborating with key resources and stakeholders, influencing decisions and managing work to achieve strategic goals required. • Executive-level business acumen in the areas of business operations, industry practices and emerging trends required. Preferred Requirements • 10 years or more experience in compliance, risk management, legal, audit, or regulatory agency background within the areas of Banking, Financial Services, and Insurance. • Experience in developing, implementing and operationalizing Compliance Testing and Monitoring programs in a complex organizational structure with a multi-level team. • Demonstrated ability to deliver results that meet heightened regulatory expectations. • Strong knowledge of federal and state laws and regulations, risk assessments, control analysis and testing and monitoring techniques within the areas of Banking, Financial Services, and Insurance. • Demonstrated ability to communicate, collaborate and manage relationships with internal and external stakeholders at various levels. • Experience in leadership, influencing skills, and managing work to achieve strategic goals. • Strong written and oral communication and presentation skills. • Certifications and Licenses such as Certified Regulatory Compliance Manager (CRCM), FINRA Licenses, etc.