Technology Compliance & Operational Risk Specialist, AI
About The Position
This job is responsible for assisting the Compliance and Operational Risk officer team to execute 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 assurance over AI governance activities, maintains audit ready documentation and evidence, performs quality reviews of risk assessments and approvals, and helps establish consistent governance standards, monitoring practices, and reporting across the AI portfolio.
Requirements
- 3+ years of experience in Audit, assurance, or risk oversight experience
- Quality assurance and governance review expertise
- Regulatory and audit evidence management
- Policy, standards, and framework assessment experience
- 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
- Strong analytical and documentation capabilities
- 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.
Nice To Haves
- Second or third line of defense experience or experience in a business risk and controls role
- Strong familiarity with the Global Compliance & Operational Risk (GCOR) program and related tools / applications
- Familiarity with technology controls, cybersecurity, and IT Governance
- Familiarity with Global Technology policies and standards
- Familiarity with technology support functions, including relevant regulations and business risks
- Familiarity with the Issues Management program and tools
- Demonstrated success leading targeted assessments, audits, or regulatory exam engagements, including authoring responses, report outs and observations
- Proficient in analysis, reporting and related applications
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 issue management activities, including remediation of regulatory issues
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
