Controls Monitoring and Testing Team Lead II
Controls Monitoring and Testing Team Lead II
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Job Description
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Regular or Temporary:
RegularLanguage Fluency: English (Required)
Work Shift:
1st shift (United States of America)Please review the following job description:
Controls Monitoring and Testing Team Lead II is an essential role within the Consumer and Small Business Banking. This leader is responsible for the monitoring and reporting regarding teammate sales practices behaviors for providing subject matter expertise regarding matters of informed client client consent and incentives and for program design and management. The Team Lead II is responsible for understanding the complex external environment while knowing the business processes products and services. With this information this leader designs new monitoring or enhances existing monitoring to mitigate or identify risks. This leader is also responsible for quality assurance and consistency of decisions made by the team and within alignment of the Sales Practices Risk Policy.ESSENTIAL DUTIES AND RESPONSIBILITIES
Following is a summary of the essential functions for this job. Other duties may be performed both major and minor which are not mentioned below. Specific activities may change from time to time.
1. Lead and guide the ongoing design execution and continuous improvement of control monitoring of all risk types within business units to ensure accuracy consistency and aggregation.
2. Understand key risks for medium to high complexity Business Units and partner with business to evaluate and test effectiveness of key controls.
3. Conduct key control assessments on a regular basis (adhering to Enterprise deliverables) to evaluate Business Unit adherence to corporate standards related to internal controls.
4. Assess control effectiveness and identify control environment issues partnering with the business to take corrective action as necessary.
5. Incorporate results of quality monitoring activities 2nd line testing SOX testing and complaints reporting in control environment assessments and issue identification.
6. Interpret aggregated testing and monitoring results and identify trends and issues related to key controls across business units.
7. Make recommendations and provide practical solutions for the update of Business Unit control policy procedure and risk/control documentation.
8. Develop and maintain effective channels of communication with Business Unit Risk Management Leaders Business Unit Leadership 2nd and 3rd Line of Defense partners regarding activities trends and events identified through control monitoring activities.
9. Identify cross-segment best practices and collaborate across multiple areas to identify effective and practical control and risk management techniques and assist with knowledge transfer of resources and processes.
10. Ensure team deliverables adhere to standards procedures and regulatory / audit requirements.
11. Supervises team of Controls Monitoring and Testing Consultants and Analysts including hiring reviewing performance and recommending salary increases promotions transfers demotions or terminations.
QUALIFICATIONS
Required Qualifications:
The requirements listed below are representative of the knowledge skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelors degree or equivalent education and related training
2. Ten years of experience in a financial institution; at least three years in a management/leadership capacity and/or equivalent education training and experience
3. Advanced knowledge of risk management principles and controls broad-based business practices and understanding of business process and regulatory requirements
4. Ability to lead quality assurance and process improvement efforts in a corporate environment
5. Knowledge of large bank and securities risk frameworks including FINRA SEC ERISA Sarbanes-0xley and other applicable federal and state law
6. Excellent communication interpersonal and facilitation skills as job will require extensive interaction with various business units among multiple disciplines including Senior Leadership across Truist
7. Strong influencing and presentation skills (written and verbal)
8. Proven ability to influence and work within teams
9. Excellent time management and organizational skills with the ability to manage multiple projects simultaneously; ability to operate without close supervision
10. Demonstrated proficiency in basic computer applications such as Microsoft Office software products
Preferred Qualifications:
Greensboro NC or Richmond Va also an option location
4 days in office/1 day remote
General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits though eligibility for specific benefits may be determined by the division of Truist offering the offers medical dental vision life insurance disability accidental death and dismemberment tax-preferred savings accounts and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment along with 10 sick days (also prorated) and paid holidays. For more details on Truists generous benefit plans please visit our Benefits site. Depending on the position and division this job may also be eligible for Truists defined benefit pension plan restricted stock units and/or a deferred compensation plan. As you advance through the hiring process you will also learn more about the specific benefits available for any non-temporary position for which you apply based on full-time or part-time status position and division of work.
Truist is an Equal Opportunity Employer that does not discriminate on the basis of race gender color religion citizenship or national origin age sexual orientation gender identity disability veteran status or other classification protected by law. Truist is a Drug Free Workplace.
EEO is the LawPay Transparency Nondiscrimination Provision E-Verify
Employment Type
Full-Time
