Technology Compliance & Operational Risk Manager, AI
About The Position
This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner. In this role, you will provide independent second line risk review and challenge for AI and GenAI use cases. Performs technical risk assessments, validates control design and effectiveness, reviews reference architectures, evaluates AI governance requirements, and partners with AI EAC and business stakeholders to ensure appropriate risk management practices are applied throughout the AI lifecycle.
Requirements
- Minimum of seven years of relevant experience
- May require regulatory examination/registration or certification, depending on jurisdiction and role
- AI and Generative AI risk expertise
- AI platform operations and monitoring experience
- Technology controls and operational risk management
- Observability, monitoring, and alert management understanding and tool experience
- Change management and lifecycle governance expertise
- Data analysis and risk reporting capabilities
- Experience with cloud and AI platforms
- Compliance, Operational Risk, or Technology Risk Experience
- Proven background in risk-related disciplines; strong experience with the Global Compliance & Operational Risk program from a 1st or 2nd line perspective.
- Advisory
- Monitoring, Surveillance, and Testing
- Regulatory Compliance
- Reporting
- Risk Management
- Critical Thinking
- Influence
- Interpret Relevant Laws, Rules, and Regulations
- Issue Management
- Policies, Procedures, and Guidelines Management
- Business Process Analysis
- Decision Making
- Negotiation
- Process Management
- Written Communications
Nice To Haves
- Bachelor’s Degree in a related field
- Experience in financial services and/or a similarly regulated sector
Responsibilities
- Assesses risks and effectiveness of Front-Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations
- Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
- Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
- Conduct monitoring and provide independent review of the Front-Line Unit.
- Monitors inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
- Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
- Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks
- Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage
- Monitor and assess adherence to Global Technology policies and standards
- Perform inline review of ITGPST issue management activities, including remediation of regulatory issues
- Executing the Compliance and Operational Risk Management Program with rigor and adaptability.
- Engaging senior technology leaders, providing credible challenges and clear risk insights.
- Identifying and assessing emerging risks tied to external client facing payment technologies and innovation.
- Designing forward-thinking risk assessments that go beyond checklists to uncover real vulnerabilities and opportunities.
- Driving a culture of proactive risk management across the organization.
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
Senior
