Lead First Line Risk Management, Technology

At Early Warning, we've powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle®, Paze®, and so much more. As a trusted name in payments, we partner with thousands of institutions to increase access to financial services and protect transactions for hundreds of millions of consumers and small businesses.

Early Warning follows a hybrid work model to allow for a more collaborative working environment.

Candidates responding to this posting must independently possess the eligibility to work in the United States, for any employer, at the date of hire. This position is ineligible for employment Visa sponsorship.

The Lead First Line Risk Management, Technology will report to the Director, First Line Risk Management, Technology and provide support for exams, audits and assessments that include and impact technology, requiring coordination across multiple technology departments. Early Warning provides technology that is critical to the US financial system and as such ensuring our compliance to regulatory oversight is key to our success.

Overall Purpose

This position is key to successful audit and exam outcomes for EWS. It is primarily responsible for the managing and handling of requests from external regulators, internal and external auditors, and Compliance by engaging and coordinating with key stakeholders in the business line you support and across the organization. A key additional responsibility is proactively identifying controls and documentation that align with regulatory expectations, internal policy and organizational best practices and ensuring their efficient archival and retrieval.

Essential Functions

• Manage internal and external audits and regulatory exams: suggest/provide appropriate materials; work across business lines to gather, coordinate and standardize documentation; obtain leadership approval; monitor to ensure on time delivery of documentation to regulatory agency or auditor.
• Ensure relevance, accuracy, and completeness of provided materials against requests; provide guidance and revision recommendations for deliverables that are not meeting requirements
• Continuously identify and implement efficiencies in coordination with the Compliance Regulatory Relations Program
• Work with Compliance and the Business to implement program, process, and/or documentation changes when laws or regulations are introduced or changed, as well as when there are learnings from external litigation
• Assist in comparing controls, policies, procedures, work instructions, and other internally generated documentation to regulations and exam manuals; work with the appropriate team to submit self-identified issues relative to any gap identified
• Design and conduct audit readiness and audit preparedness activities in advance of internal and external audits, to reduce the number of audit findings
• Identify and support the documenting, structuring, updating, and archiving of materials that will likely be requested for audits and exams; review and analyze historic audit and exam data requests, findings, and other information; identify opportunities to reuse materials.
• Review updates to policies, procedures, and systems, make recommendations based on regulatory and audit/exam requests and findings
• Complete projects in support of regulators, auditors, and the compliance department
• Regularly report status to leadership including any issues
• Track and report status of remediation work by owners of exam and audit findings
• Support the company's commitment to risk management and protecting the integrity and confidentiality of systems and data

Minimum Qualifications

• Five years' experience actively leading external exams and audits (OCC, CFPB, PCI DSS, SOC2, etc.), and internal audits
• Experience in security, governance, risk management, IT audit, information technology, or related
• Knowledge of key laws, regulations, frameworks (including the Cyber Risk Institute (CRI) framework) and guidance in the financial services industry
• Experience with Onspring, Jira, Service Now or other GRC and workflow tools
• Typically, 8 or more years of related experience
• Ability to establish and maintain productive relationships between various leaders, departments, and partners across the organization and externally.
• Strong organizational and project management skills, including ability to prioritize multiple simultaneous projects.
• Resourceful and able to leverage internal relationships to obtain quick engagement.
• Education and/or experience typically obtained through completion of a bachelor's degree or equivalent work experience
• Background and drug screen

Preferred Qualifications

• Knowledge of key laws, regulations