NO SPONSORSHIP

Manager, Compliance Monitoring - Regulatory

SALARY: $140k - $150k plus 15% bonus

LOCATION: CHICAGO, IL

Hybrid 3 days onsite and 2 days remote

You will manage 4 people and oversee the compliance regulatory and internal control self-testing program. Management of the self-testing quality assurance annual attestations and compliance automated testing program. 3 years financial services internal controls identifying process improvements CPA CIA CISA preferred

This role will report to the Executive Director, Assurance and Monitoring, and will provide execution and oversight for the programs that oversee compliance with the regulatory and internal control environment. This includes, but is not limited to, facilitating and overseeing the management self-testing program, management self-testing quality assurance, annual attestations, and compliance automated testing program.

• Oversee the facilitation of the management self-testing program, including drafting of test plans, launching campaigns, reviewing of results, and reporting on program.
• Oversee and advance the management self-testing quality assurance program.
• Facilitate, review and report on the company's attestation program.
• Oversee the Compliance automated testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization.
• Design and perform tests of controls for design and operational effectiveness, as needed.
• Perform secondary review of compliance review checklist related to findings remediation efforts.
• Report on output of programs to stakeholders, senior management, and the board.
• In coordination with other members of the department, develop tools and reports for Assurance and Monitoring.
• Work with internal stakeholders (ORMC, Internal Audit, others) to determine ways to leverage work and maximize efficiency across the organization.

Qualifications:

• Strong background and knowledge in process management, including familiarity with issue management or audit best practices.
• Understanding of the role and importance of internal controls within the organization.
• Strong analytical skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results.

Technical Skills:

• Spreadsheet expertise (ie Excel).
• Documentation expertise (ie Word)
• Presentation experience (ie PowerPoint, Word, and Publisher)
• eGRC experience (specifically RSA Archer), preferred
• SOC experience and/or knowledge of COSO preferred.

Education and/or Experience:

• Bachelor's Degree in Business, Finance, Accounting, or a related discipline.
• 7-10 years related experience, preferably 3 years within financial services.
• Familiarity with internal controls role within an organization.
• Experience in identifying process improvements.
• Experience in project planning and reporting results.
• Experience with managing multiple projects simultaneously.

Certificates or Licenses:

• CPA, CIA, CISA or other related certification, preferred.