Manager, Compliance Monitoring

3 weeks ago


Chicago, United States Request Technology, LLC Full time

***Hybrid, 3 days onsite, 2 days remote***

***We are unable to sponsor as this is a permanent full-time role***

A prestigious company is looking for a Manager, Compliance Monitoring. This person will manage over 4 people and will focus on regulatory and internal control self-testing programs.

Responsibilities:

  • Oversee the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program.
  • Oversee and advance the management self-testing quality assurance program.
  • Facilitate, review and report on the company’s attestation program.
  • Oversee the Compliance automated testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization.
  • Design and perform tests of controls for design and operational effectiveness, as needed.
  • Perform secondary review of compliance review checklist related to findings remediation efforts.
  • Report on output of programs to stakeholders, senior management, and the board.
  • In coordination with other members of the department, develop tools and reports for Assurance and Monitoring.
  • Work with internal stakeholders (ORMC, Internal Audit, others) to determine ways to leverage work and maximize efficiency across the organization.
  • Escalate issues to the Executive Director, Assurance and Monitoring, and the Chief Compliance Officer, as needed.
  • Supervise a team of Associate Principals and Senior Associates.
  • Perform administrative supervisory activities including performance reviews, corrective action documentation, and other tasks as needed.

Qualifications:

  1. Bachelor’s Degree in Business, Finance, Accounting, or a related discipline.
  2. 7-10 years related experience, preferably 3 years within financial services.
  3. Familiarity with internal controls role within an organization.
  4. Experience in identifying process improvements.
  5. Experience in project planning and reporting results.
  6. Experience with managing multiple projects simultaneously.
  7. Strong background and knowledge in process management, including familiarity with issue management or audit best practices.
  • Spreadsheet expertise (i.e. Excel).
  • Documentation expertise (i.e. Word)
  • Presentation experience (i.e. PowerPoint, Word, and Publisher)
  • eGRC experience (specifically RSA Archer), preferred
  • SOC experience and/or knowledge of COSO preferred.



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