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Internal Controls Manager
Ref No.: 17-00251
Location: Tempe, Arizona
Position Type:Contract
Start Date: 06/14/2017
  • knowledge of risks and controls, root cause analysis of control deficiencies, audit and regulatory issues. remediation and supporting evidence is appropriate and timely. Provide feedback to managers
  • review and challenge of open issues, closure requests by Finance Management Assurance team. Check issue closure requests prior to Business Unit Risk Manager and senior review, approvals for submission to Internal Audit and Regulatory Affairs and regulators.
  • Provide training and guidance to FMA business line managers and issue owners.
  • Track and monitor remediation progress across all Finance business units. Provide periodic updates to the Business Unit Risk Manager, some working committees, and senior management.
  • Work with the Business Unit Risk Manager team and the FMA organizational units to enhance protocols to formalize and improve efficiency and effectiveness of the issue closure process across Financial Management of the Americas.
  • Prepare periodic open issue management (OIM) reporting for Financial Management of the Americas for review by the Business Unit Risk Manager and senior management in preparation for Executive of Committee of the Americas.
  • Manage quality assurance related to open issues management reporting.
  • Manage the independent review and challenge of open issues closure requests by FMA managers and executives. Ensure integrity of issue closure requests prior to BURM and senior management review and approvals for submission to Internal Audit and Regulatory Affairs and regulators.
  • Establish strong working relationships with FMA Business Unit Risk Manager
  • Manage relationships with 1st line of defense business managers across Financial Operations of the Americas and other Business Unit Risk Management teams
  • Build relationships with 2nd line of defense colleagues of the Risk Management of the Americas organization
  • Manage relationships with 3rd line of defense and external stakeholders including Internal Audit of the Americas and the Regulatory Affairs Office and banking regulators.
  • 10+ years demonstrated experience in financial services risk and controls related function such as Operational Risk or Audit.
  • Strong knowledge and experience in financial processes risk and controls.
  • knowledge of 12 CFR 30 – Safety & Soundness Banks & Banking
  • Experience performing independent review and challenge of audit issues (e.g. root cause, remediation evidence, validation)
  • Strong data mining and analysis skills to generate reporting.
  • Intermediate to advanced skills in Excel (pivots, vlookup)
  • High attention to detail in internal control activities & reporting
  • Ability to communicate and liaise with all levels of management
  • Strong work ethic, ability to prioritize work and multi-task, make decisions & work under tight deadlines
  • Extensive knowledge of financial services including core processes of a finance organization.
  • Strong knowledge of governance, risks and controls related to a diverse set of finance functions in a bank.
  • Experience working with Risk and Control Self Assessments (RCSAs) for operational risk
  • Extensive knowledge of evaluating control environment including tests for design and operating effectiveness
  • Familiarity with finance and accounting business processes, IT and systems, and end user computing controls supporting finance processes.
  • Knowledge of internal audit practices and perspectives.
  • College degree or equivalent professional experience
  • CIA certification preferred, not required