Overview

　　This role will be responsible for managing all regulatory exam and internal audit response activities to ensure appropriate engagement from the Enterprise Risk Management department. Reviews inquiries and coordinates responses from each responsible area within the department; writes responses to inquiries as needed. Ensures completeness and accuracy of responses by maintaining a solid understanding of risk programs and associated service offerings managed across the department. Coordinates executive reviews of content prior to submission to regulators or auditors. Maintains a strong knowledge of new or emerging risk management methodologies through professional networking and industry involvement. Develops collaborative partnerships with internal departments, external auditors, regulatory agencies, and other stakeholders to support the company's Risk Management Framework.

　　Responsibilities

　　• Implementing divisional regulatory exam and internal/external audit coordination process to ensure engagement from each ERM/ORM Program.

　　• Designing and implementing pre-planning routines; including the review of applicable business processes and associated artifacts, to ensure process owners are engaged and prepared for upcoming reviews

　　• Partnering with second line, third line and regulatory testing functions to include awareness of upcoming engagements and escalations, when applicable, of off track engagements.

　　• Developing collaborative partnerships with internal departments, external auditors, regulatory agencies, and other stakeholders to support Regulatory Exam and Internal Audit activities.

　　• Building trust and accountability with ERM/ORM leadership team; providing support to ensure timely, optimal responses to regulator/auditor inquiries.

　　• Facilitating regular touch points with ERM/ORM Program leaders to include walkthroughs, awareness, and escalations.

　　• Managing Regulatory Exam material requests; not just the collection, but the review/evaluation of artifacts for completeness and accuracy.

　　• Consulting with materials owners; guide and provide support on how best to package materials.

　　• Supporting the business to review, challenge and respond to potential findings and develop associated action plans.

　　• Develop reporting (as necessary) for active engagements to provide departmental awareness of progress and potential issues.

　　Qualifications

　　Bachelor's Degree and 4 years of experience in Financial Services, Enterprise Risk Management, Operational Risk Management, Compliance, Audit, Finance, or Accounting OR High School Diploma or GED and 8 years of experience in Financial Services, Enterprise Risk Management, Operational Risk Management, Compliance, Audit, Finance, or AccountingPreferred Education: Advanced DegreePreferred Area of Experience: Enterprise Risk Management or Operational Risk ManagementSkill(s): Experience working with Governance Risk and Compliance applications, Knowledge of risk techniques and practices, Strong verbal and written communication skills