Senior Managing Director, Compliance and Audit

C
City National Bank


Enterprise Risk Specialist
City National Bank • Phoenix, AZ, United States • via BeBee
23 hours ago
Full–time
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Job highlights
Identified by Google from the original job post
Qualifications
Bachelor's degree in a relevant field such as finance, law, engineering, or computer science
At least 10 years' experience in operational risk management, audit, compliance, or IT security, preferably within financial services or fintech
Advanced knowledge of risk management frameworks, policies, procedures, and standards
1 more items(s)
Responsibilities
You'll be responsible for developing and implementing robust operational risk management frameworks, ensuring compliance with regulatory requirements, and driving a culture of risk awareness throughout the organization
As ORC Team Lead, you'll collaborate closely with Technology leaders, business stakeholders, and other risk management teams to identify, assess, and mitigate operational risks associated with our technology infrastructure, applications, and services
You'll design and implement comprehensive operational risk management frameworks, including policies, procedures, and controls, to ensure compliance with regulatory requirements and industry standards
3 more items(s)
Job description
We're looking for a seasoned Operational Risk Professional to lead the Operational Risk & Compliance (ORC) team within our Technology organization. You'll be responsible for developing and implementing robust operational risk management frameworks, ensuring compliance with regulatory requirements, and driving a culture of risk awareness throughout the organization.
About the Role

As ORC Team Lead, you'll collaborate closely with Technology leaders, business stakeholders, and other risk management teams to identify, assess, and mitigate operational risks associated with our technology infrastructure, applications, and services.
• You'll design and implement comprehensive operational risk management frameworks, including policies, procedures, and controls, to ensure compliance with regulatory requirements and industry standards.
• You'll develop and deliver training programs on operational risk management best practices and regulatory updates for employees, vendors, and third-party service providers.
• You'll coordinate cross-functional efforts among different departments and teams to resolve issues related to data security, vendor management, and compliance with regulations.
• You'll liaise with senior leadership and external experts to gain insight into industry best practices, evolving threats, and innovative solutions for mitigating operational risk.

Qualifications
• Bachelor's degree in a relevant field such as finance, law, engineering, or computer science.
• At least 10 years' experience in operational risk management, audit, compliance, or IT security, preferably within financial services or fintech.
• Advanced knowledge of risk management frameworks, policies, procedures, and standards.
• Experience with SQL, data visualization tools, and programming languages like Python, Java, or C#.
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C
Confidential


Senior Managing Director, Compliance and Audit
Confidential • Phoenix, AZ, United States • via SaluteMyJob
18 hours ago
Full–time
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Job highlights
Identified by Google from the original job post
Qualifications
Certifications such as CPA, CIA, CERP, CRCM, CAMS, or CISA are a significant advantage
A robust understanding of compliance risks and regulatory frameworks for larger financial institutions, especially those nearing the $100 billion threshold, is crucial
Strong communication, organizational, analytical, and project management skills are essential, along with proficiency in a variety of data analytics tools
Benefits
Online & Mobile Banking
Consumer Finance
Commercial Banking
17 more items(s)
Responsibilities
This strategic role is essential for overseeing, evolving, and implementing our internal audit framework to ensure robust regulatory compliance
You will lead risk assessment and audit strategy execution, utilizing data analytics while managing cross-functional teams
Fostering collaborative relationships with management and representing Internal Audit across various platforms
4 more items(s)
Job description
Senior Managing Director, Compliance and Audit

About the Company

A prestigious regional banking institution.

Industry
Banking

Type
Public Company

Founded
1+35

Employees
1001-5000

Categories
• Banking
• Financial Services
• Banking & Mortgages
• Consulting & Professional Services
• Banking Services
• Banks and Institutions
• Finance
• Online Banking

Specialties
• Retail Banking
• Online & Mobile Banking
• Consumer Finance
• Commercial Banking
• Financial Advisors
• HSA Bank
• Private Banking
• Retirement Planning
• Small Business
• Cash Management
• Insurance + Employee Benefits
• Treasury Sales + Investments
• Loans + Credit
• Consumer Bank
• Asset-Based Lending
• Equipment Finance
• Mortgages
• Wealth Management
• Employee Benefits
• Treasury Management
• Loans + Credit

Business Classifications
• B2C

About the Role

Join our esteemed organization as a Senior Managing Director, focusing on Audit with a core emphasis on Regulatory and Compliance roles. This is an exciting opportunity for a results-driven professional with extensive knowledge in compliance and regulatory risks within the financial services landscape. This strategic role is essential for overseeing, evolving, and implementing our internal audit framework to ensure robust regulatory compliance. You will lead risk assessment and audit strategy execution, utilizing data analytics while managing cross-functional teams.

Your key responsibilities will include:
• Fostering collaborative relationships with management and representing Internal Audit across various platforms.
• Ensuring that all audit work adheres to the highest quality standards.
• Championing improvements in auditing processes and methodologies.
• Exhibiting deep technical expertise in regulatory and compliance matters.
• Guiding your team to foster a resilient risk culture.

The ideal candidate will hold a Bachelor's degree (Master's preferred) in a relevant field, with a minimum of 14 years of experience in auditing financial services organizations. Certifications such as CPA, CIA, CERP, CRCM, CAMS, or CISA are a significant advantage. A robust understanding of compliance risks and regulatory frameworks for larger financial institutions, especially those nearing the $100 billion threshold, is crucial. Strong communication, organizational, analytical, and project management skills are essential, along with proficiency in a variety of data analytics tools.

Hiring Manager Title
Deputy Chief Audit Executive

Travel Percent
Less than 10%

Functions
• Business Development
• Finance
• Strategy