Tech Risk and Controls Lead - Audit and Regulatory Portfolio
Tech Risk and Controls Lead - Audit and Regulatory Portfolio
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Job Description
Join our team to play a pivotal role in mitigating tech risks and upholding operational excellence driving innovation in risk management.
As a Tech Risk & Controls Lead within theCompute Platforms & Network Services (CPNS) group you will be responsible for identifying and mitigating compliance and operational risks in line with the firms standards. The role focuses on creating an audit-ready environment for products and services in the CPNS portfolio including working with product teams to establish consistent and comprehensive audit documentation establishing audit and regulatory engagement guidelines and processes and leveraging the use of automation for the collection maintenance and dissemination of evidence for global regulatory and audit engagements. TheTech Risk & Controls Leadwill be expected to partner with senior leaders and members across CPNS IP risk partners as well as with first line risk and controls functions Compliance Conduct & Operational Risk (CCOR) stakeholders and Internal Audit to drive adherence to existing policies and standards regulatory requirements and effective risk & controls.
Job Responsibilities:
- Build and cultivate an audit-ready culture across theCompute Platforms & Network Services portfolio
- Engage with Tech Leadership Product Owners Internal Audit CCOR and Cybersecurity & Technology Controls (CTC) on an on-going basis for business-as-usual risk activities reporting and initiatives
- Coordinate track and monitor Requests for Information (RFI) responses for audit and regulatory examinations
- Identify and drive opportunities to leverage data automation AI/ML and self-service capabilities to aid in RFI responses analysis and tracking
- Provide credible review and challenge to senior leaders within the portfolio
- Ensure effective identification quantification communication and management of technology risk including understanding of root cause analysis and plausibility of remediation recommendations
- Build tracking mechanism and communication flow around global regulatory and audit exams questions and themes
- Conduct analysis during and after audits as well as thematic analysis to capture trends from previous audits in/ impacting the portfolio
- Develop and maintain robust relationships becoming a trusted partner with LOB technologists assessments teams and data officers to facilitate cross-functional collaboration and progress toward shared goals
- Execute reporting and governance of controls policies issue management and measurements offering senior management insights into control effectiveness and inform governance work
- Proactively monitor and evaluate control effectiveness identify gaps and recommend enhancements to strengthen risk posture and regulatory compliance
Required Qualifications Capabilities and Skills:
- 5 years of experience or equivalent expertise in technology risk management information security or related field emphasizing risk identification assessment and mitigation
- Experience working in internal audit independent risk management or second line of defense function
- Familiarity with risk management frameworks industry standards and financial industry regulatory requirements
- Proficient knowledge and expertise in data security risk assessment & reporting control evaluation design and governance with a proven record of implementing effective risk mitigation strategies
- Demonstrated ability to influence executive-level strategic decision-making and translating technology insights into business strategies for senior executives
Preferred Qualifications Capabilities and Skills:
- Certifications such as CISA CRISC CISM highly desirable
Employment Type
Full-Time
