Compliance Testing Manager-Governance & Standards - Hicksville New York

Company: Flagstar Bank
Location: Hicksville, New York
Posted On: 04/27/2024

The Compliance Testing Manager assists the Senior Manager of Governance and Standards (G&S) in the development and implementation of all G&S initiatives. Highly knowledgeable in the area of compliance testing with a thorough understanding of compliance risk and controls. Administer a robust quality assessment and improvement program and provide guidance in the continued management and development of the testing program and risk prioritization process. Pay Range: $99,731.70 - $132.144.50 - $197,468.76

• Manage Quality Assurance reviews of testing activities performed by the Enterprise Compliance Monitoring and Testing (ECMT) team through an assessment of workpapers and supporting documentation.
• Assist in the development and maintenance of the Annual Testing Plan - maintain awareness of internal and external inputs that drive the compliance risk environment and maintain workpapers and change control logs related to the Annual Plan decisions and periodic refreshes. -
• Act as a Subject Matter Expert in the ECMT Methodology and templates, providing guidance to the ECMT team when required.
• Provide feedback and areas for improvement across G&S and Testing Team templates and documentation. -
• Support the Senior Manager of G&S in executing the following:
  • reporting on testing plan activities and issues raised,
  • information requests from third parties (regulators, internal audit, etc.)
  • coordinate training sessions, as needed, to the ECMT team,
  • management of KPIs and KRIs related to department performance and the potential risk created by issues raised. -
  • Ensures proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries.
  • Complete all required compliance and other firm required training.
  • Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to role.
  • Ability to travel as needed.
    ADDITIONAL ACCOUNTABILITIES
    • Performs special projects, and additional duties and responsibilities as required.
    • Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. - Accountable to maintain compliance with applicable federal, state and local laws and regulations.
      Required Qualifications:
      • Education level required: Undergraduate Degree (4 years or equivalent)
      • Minimum experience required: 7+ Years of Financial Services experience, preferably at least half of those years in Compliance Testing, Internal Audit function, or a financial services consulting firm (e.g., PWC, E&Y, Grant Thornton, other) with regulatory compliance testing as an area of focus.
        Preferred Qualifications:
        • CRCM, ACAMS, Securities Licenses preferred but not necessary.
          Job Competencies:
          • Excellent knowledge of consumer protection laws and regulations impacting financial institutions.
          • Excellent communication skills including presentations, group facilitation skills.
          • Proven ability to partner effectively across all levels of the organization and develop positive working relationships.
          • Excellent organization skills.
          • Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
          • Ability to travel as needed. More...

                

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