Compliance Assurance Manager

1 month ago

Iselin, United States Citizens Financial Group, Inc. Full time

Description

The Compliance Assurance function is a part of the second line of defense and is responsible for providing independent assurance regarding the adequacy, effectiveness, and sustainability of regulatory risk management and control processes to ensure regulatory, customer, and reputational risks are sufficiently mitigated. The Compliance Manager's primary responsibility is to assist in the planning and delivery of assigned assurance reviews and/or audits of commercial and wealth/investment business units and/or thematic regulatory compliance programs. Role holders are expected to foster proactive and professional relationships with business units and provide robust and challenging insight on business risk and control processes. This is an individual contributor role.

The Compliance Manager role within the Compliance Assurance function will be responsible for the following:

* Perform review planning activities to support the development of appropriate risk-based review objectives to assess adequacy and effectiveness of business unit compliance processes and controls
* Conduct 'walk through' interviews with key business unit individuals to identify and document key processes, risks, and controls
* Design and execute detailed testing approaches for review assignments within established timelines
* Clearly communicate with the review lead and key stakeholders throughout the review to present potential issues or constraints and to ensure timely and transparent discussion
* Synthesize testing results into meaningful outcomes and ensure sound conclusions are reached for assigned review objectives in accordance with regulatory requirements and expectations
* Engage business line management relative to review findings and issues to influence necessary change and ensure adequacy of corrective actions/plans
* Perform ongoing oversight of Compliance Assurance raised issues to ensure adequate, effective, and sustainable resolution by the issue owner(s)

Qualifications

* 3 + years previous experience in regulatory compliance risk management, compliance audit, or similar role
* Ability to problem-solve, innovate, and develop creative testing approaches
* Professional certification or license in regulatory compliance or internal audit preferred (e.g. Certified Regulatory Compliance Manager, Certified Internal Auditor)
* Strong regulatory knowledge, understanding of commercial or investment business lines and risk management skills
* Ability to effectively communicate (verbal and written) with all levels of management and with team members
* Demonstrated teamwork and excellent organizational and computer skills.

Education:

* Bachelors Degree required

Hours & Work Schedule: Hybrid - 3 days in the office 2 remote

* Hours per Week: 40
* Work Schedule: Monday - Friday

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague's or a dependent's reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

Benefits

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

View Benefits

Awards We've Received

FORTUNE's World's Most Admired Companies

Human Rights Campaign Corporate Equality Index 100 Award

Military Friendly Employer

Age-Friendly Institute's Certified Age-Friendly Employer

Bloomberg Gender Equality Index, Standout

Dave Thomas Foundation's Best Adoption-Friendly Workplace

DiversityInc

Top Regional Company for Diversity

Forbes America's Best Large Employers

National Organization on Disability's Leading Disability Employer

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