Product Audit and Exam Manager
About The Position
This job is responsible for leading and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include executing LOB or ECF processes and tools to drive adherence to enterprise-wide standards. Job expectations include supporting the implementation of quality assurance and quality control processes within the LOB or ECF through ongoing monitoring and testing of controls, identifying issues and control improvements for remediation, and building out actions plans and milestones. The Audit and Exam Manager provides oversight, coordination and guidance for audits, regulatory exams, Matters Requiring Attention, and consent orders impacting the Consumer, Small Business Products and Analytics Organization. This role ensures timely delivery of accurate, consistent, and high-quality responses. The manager exercises sound judgment and provides guidance.
Requirements
- 2+ years experience with exams, audits, and/or internally identified issues management or business controls
- Strong knowledge of the Consumer, Small Business, Wealth Management Banking & Lending products
- Strong communication skills
- Proficient in Microsoft Office Suite and SharePoint
Nice To Haves
- Controls Management
- Oral Communications
- Risk Management
- Stakeholder Management
- Strategy Planning and Development
- Continuous Improvement
- Drives Engagement
- Influence
- Strategic Thinking
- Talent Development
- Decision Making
- Monitoring, Surveillance, and Testing
- Problem Solving
Responsibilities
- Leads the assessment of the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards
- Performs monitoring and testing of controls, identifying issues and control improvements for remediation
- Leads the implementation of optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
- Manages the performance and productivity of team members that conduct quality inspection reviews
- Ensures timely execution of QA activities including control execution, case management, and results reporting
- Manages and reviews all operations front line unit responses for regulatory exams, internal audits, and other monitoring and inspection reviews
- Ensures accuracy of data and that relevant information is captured for inspection metrics to support governance for dashboard reporting
- Manage audits, exams, MRAs and consent orders providing oversight, support and guidance including assembling/reviewing responses, to ensure an accurate, consistent and quality response within expected time frames
- Establish and drive adherence to exam management standards
- Build strong partnerships across front line units to support cross functional exams
- Provide reporting/status updates to senior leader updates on assessment progress, escalate risks and ensure regulator meeting preparedness
Benefits
- Access to paid time off
- Resources and support to our employees
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
