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Compliance Assurance Manager

4 months ago

Iselin, United States Citizens 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 Managers 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

+ 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/Certification:

+ Bachelors Degree required

+ Professional certification or license in regulatory compliance or internal audit preferred (e.g. Certified Regulatory Compliance Manager, Certified Internal Auditor)

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, colleagues or a dependents 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.

Why Work for Us

At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.