Director-Compliance: Monitoring

1 month ago

Phoenix, Arizona, United States American Express Full time

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Join Team Amex and let's lead the way together.

How we serve our customers is constantly evolving and is a challenge we gladly accept. Whether you're finding new ways to prevent identity fraud or enabling customers to start a new business, you can work with one of the most valuable data sets in the world to identify insights and actions that can have a meaningful impact on our customers and our business. And, with opportunities to learn from leaders who have defined the course of our industry, you can grow your career and define your own path. Find your place in risk and analytics on #TeamAmex.

The Director of Monitoring and Testing Oversight is responsible for managing and performing the day-to-day execution of Compliance Monitoring & Testing oversight, including executing Regulatory Business Self-Testing (RBST) second line governance and oversight, RBST Validations, collecting and analyzing RBST inventories, maintaining governance documents, and supporting other program initiatives. This role will also be responsible for Compliance Smart Monitoring oversight and validation which is an automated tool leveraged to execute RBST by the business units.This role will also support Issue Management from a Compliance Program perspective as part of the Compliance Issue Advisory function within the program.

How will you make an impact in this role?

The Director will provide general support to the VP of ICT, to ensure effective and efficient operations including:

Developing, communicating, and executing on multi-year RBST Validation plan Overseeing the day-to-day execution of the RBST Validation program, including: oFinalizing the RBST Validation Announcement Memorandums, including all impacted parties, for review and issuance by the VP of ICT oConducting planning meetings with key business partners and Line of Business Compliance partners oUpdating Compliance Management on the progress of the RBST Validations and escalating issues oEnsuring that RBST or compliance gaps are identified, and appropriate corrective action plans are agreed upon and completed oDocumenting work papers and reports and ensuring that they have been properly finalized (including resolution of all outstanding items), approved, and filed oReviewing and approving work papers; and oResponsible for finalizing the draft report to be vetted with all stakeholders prior to issuance Collecting and consolidating the quarterly RBST Inventories from Line of Business Compliance partners for the purposes of informing the Compliance Risk Assessment and facilitating regulatory reportingMaintaining RBST GuidelinesSupporting other program initiatives and projects related to RBSTProvide oversight to Compliance Smart Monitoring key risk indicators including: oMaintaining the Compliance Smart Monitoring procedure oProviding oversight of Compliance Smart Monitoring procedure compliance by business units Partnering with Global Risk and Compliance capability teams to implement program enhancements for RBST, Compliance Smart Monitoring, and Compliance program Issue ManagementSupporting examination requests Overseeing the preparation of monthly Compliance Risk Management Committee reportingAs part of the Compliance Issue Advisory team, liaison with the Issues & Events team within Operational Risk Management on Compliance Issue Management matters to support the following: oProvide Compliance feedback on Issue Management initiatives oProvide Compliance input on the Global Issue Management policy and procedure refresh cycle oProvide Compliance approval, when needed, on Remediation Protocols and remediation exceptions oProvide oversight on the Line of Business Compliance Officer timeliness and decision-making as well as drive awareness and training where required Minimum Qualifications2+ years of experience in compliance, internal or external audit, internal control, or other testing work experienceDetailed understanding of internal control frameworks, RBST including objective/transactional and control testing, and other compliance testing and monitoring activitiesWorking knowledge of the laws, rules and regulations governing American Express businessesAbility to develop reporting and communicate program information to Board, Management, and other key internal and external stakeholdersProven ability to effectively lead othersPossess a strong understanding of banking systems and processesStrong analytical skills and ability to identify potential compliance issues, potential root causes, and feasible operational solutionsStrong collaborative skills and ability to work in a matrix environment and on cross-functional teamsExcellent verbal and written communications skillsMust be able to effectively communicate with all levels within the organizationAbility to translate technical information into easily understandable termsBe self-motivated, dependable, adaptable and detail oriented with a proven ability to work independently or within a team environment as requiredStrong presentation and project management skillsStrong computer knowledge including excellent MS Word, Excel, and PowerPoint skillsPreferred QualificationsCRCM, CAMS, or related designation/certification preferredBachelor's or advanced degree preferred Salary Range: $130,000.00 to $205,000.00 annually + bonus + equity (if applicable) + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back our colleagues and their loved ones with benefits and programs that support their holistic well-being. That means we prioritize their physical, financial, and mental health through each stage of life. Benefits include: Competitive base salaries Bonus incentives 6% Company Match on retirement savings plan Free financial coaching and financial well-being support Comprehensive medical, dental, vision, life insurance, and disability benefits Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) Free and confidential counseling support through our Healthy Minds program Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. At American Express, you'll be recognized for your contributions, leadership, and impact—every colleague has the opportunity to share in the company's success. Together, we'll win as a team, striving to uphold our company values and powerful backing promise to provide the world's best customer experience every day. And we'll do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers/Employees - Click here to view the "Know Your Rights" poster and the Pay Transparency Policy Statement. If the links do not work, please copy and paste the following URLs in a new browser window: to access the three posters.

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