Lead First Line Risk Management, Technology

Early Warning Services • Chicago, IL

6d • Hybrid

About The Position

The Lead First Line Risk Management, Technology supports exams, audits, and assessments involving technology, coordinating across multiple technology departments. The role manages requests from external regulators, internal and external auditors, and Compliance by engaging stakeholders in the supported business line and throughout the organization. It also proactively identifies controls and documentation aligned with regulatory expectations, internal policy, and organizational best practices, and ensures that these materials can be efficiently archived and retrieved.

The position oversees preparation and delivery of audit and exam materials, checks their relevance and completeness, and supports audit readiness, remediation tracking, regulatory change implementation, and reporting to leadership. It reports to the Director, First Line Risk Management, Technology. The role is hybrid and is based in the United States; applicants must already be eligible to work in the U.S. for any employer, and visa sponsorship is not available.

Requirements

• Five years of experience actively leading external exams and audits, such as OCC, CFPB, PCI DSS, and SOC 2, as well as internal audits.
• Experience in security, governance, risk management, IT audit, information technology, or a related field.
• Knowledge of key laws, regulations, frameworks—including the Cyber Risk Institute (CRI) framework—and guidance in the financial services industry.
• Experience with Onspring, Jira, ServiceNow, or other GRC and workflow tools.
• Typically eight or more years of related experience.
• Ability to establish and maintain productive relationships with leaders, departments, and partners across the organization and externally.
• Strong organizational and project-management skills, including the ability to prioritize multiple simultaneous projects.
• Resourcefulness and ability to leverage internal relationships to obtain timely engagement.
• Bachelor's degree or equivalent work experience.
• Must complete a background and drug screen.
• Must be independently eligible to work in the United States at the date of hire; employment visa sponsorship is unavailable.
• Ability to perform the essential functions and physical requirements of the position with or without reasonable accommodation.

Nice To Haves

• Knowledge of financial-services laws, regulations, frameworks, and guidance typically gained through five or more years in a compliance or risk-management role.
• Certified Information Systems Auditor (CISA) certification.
• Prior GRC, Information Security and Technology Consulting, or Advisory experience with a leading consulting firm such as KPMG, Deloitte, EY, or PwC.

Responsibilities

• Manage internal and external audits and regulatory exams, including coordinating, standardizing, obtaining approval for, and delivering requested documentation on time.
• Ensure materials provided in response to requests are relevant, accurate, and complete; guide or recommend revisions to deliverables that do not meet 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 documentation changes arising from new or changed laws and regulations or learnings from external litigation.
• Compare controls, policies, procedures, work instructions, and other internal documentation with regulations and exam manuals; coordinate submission of self-identified issues when gaps are found.
• Design and conduct audit-readiness and preparedness activities to reduce audit findings.
• Identify, document, structure, update, and archive materials likely to be requested for audits and exams; review historical requests and findings and identify opportunities to reuse materials.
• Review updates to policies, procedures, and systems and make recommendations based on regulatory and audit or exam requests and findings.
• Complete projects supporting regulators, auditors, and the Compliance department.
• Regularly report status and issues to leadership.
• Track and report the status of remediation work by owners of exam and audit findings.
• Support the company's risk-management commitment and protect the integrity and confidentiality of systems and data.

Benefits

• Competitive medical plans (PPO/HDHP), dental insurance, and vision insurance.
• Company contributions to a Health Savings Account (HSA) or pre-tax flexible spending accounts for commuting, health, and dependent-care expenses.
• 401(k) retirement plan with a 100% company Safe Harbor match on the first 6% deferred, immediately upon eligibility.
• Flexible Time Off for exempt employees or generous PTO for non-exempt employees.
• 11 paid company holidays and a paid volunteer day.
• 12 weeks of paid parental leave.
• Maven Family Planning support for egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and returning to work.
• Eligibility for a discretionary incentive plan.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior