Director Information Technology Audit

U.S. Technology Infrastructure and Innovation (US TI&I) spans the areas of Technology, Information Security, Deposit Operations, Loan Operations, Business Continuity Management, Project Management, Data Management Office, Corporate Real Estate, Corporate Security, and Risk & Oversight. TI&I delivers operational excellence by effectively managing the technology and operations required to run the bank, enables the bank's transformation by focusing on clients, innovating for the future, and simplifying operations, and supporting the bank's growth objectives through flawless execution of strategic initiatives.

Governance and Oversight is a First Line control group within the Three Lines of Defense model. As a first line control group, we empower Control Framework, which sets out the objectives for the design of the internal control environment aligned to the Risk Appetite Statement (RAS). We serve the Bank’s strategy to deliver a superior client experience through the stewardship of sustained and effective risk discipline. US TI&I Governance & Oversight enables the Bank’s strategic mandate to maintain financial strength and risk discipline while advancing our purpose-driven culture. We collaborate with the strategic Business Units and work across Functional Groups to grow our business resiliency and value while managing risk. In addition, we steward the processes for assessing the design and operating effectiveness of the internal control environment, and we strengthen the Risk Management Framework with related policies and processes.

The Director, Governance & Controls will report directly to the Head of Governance and Oversight, and support Information Technology (IT) and Information Security (IS) Business Units. They will work closely with 2nd and 3rd lines of defense (Risk, Compliance, and Internal Audit) to develop and implement well managed, highly effective risk practices to ensure activities do not exceed the risk tolerance of the organization. This role is fast paced and will be part of a dedicated and outstanding team that focuses on promoting control awareness and properly managing risks within the US Region IT/IS organization. This includes enhancing our control environment through effective issue management, improving controls, ensuring adherence to regulatory requirements, standards, and policies, and successfully navigating audit and regulatory exams. The ideal candidate will possess extensive IT/IS experience in the financial services industry, a strong risk background, and a proven track record of having high levels of integrity, precision, accuracy, and a bias toward action.

What You'll Be Doing

• Providing proactive risk advisory and guidance in developing, reviewing, and maintaining a strong operational risk posture as it relates to IT/IS.
• Leading and supporting the identification, escalation, assessment, and mitigation of risks in IS /IT, driving continuous improvement in control compliance and procedures.
• Leading the Risk and Control Self-Assessment (RCSA), in collaboration with IT/IS, to ensure RCSAs are completed with high quality and within agreed upon timeframes.
• Completing validation and quality assurance review of issues in accordance with proper risk management practices and guidance from the 2nd LOD prior closure.
• Working closely with cross-functional teams to establish and maintain robust control frameworks.
• Developing and implementing strategies to ensure compliance with all applicable regulatory requirements and industry standards.
• Ensuring effective governance and controls through compliance with policies, practices, reporting requirements and standards across the applicable areas are properly developed and implemented.
• Evaluating incidents and operational losses and perform thorough analysis to identify trends and root cause. Prepare recommendations for process and control enhancements in alignment and in collaboration with IT/IS.
• Collaborating with cross-functional teams to ensure the timely resolution of regulatory findings and recommendations, implementing appropriate corrective actions and control enhancements.
• Staying updated with relevant laws, regulations, and industry trends, and providing guidance on emerging compliance issues and potential impact on business operations.
• Developing a thorough understanding of our US business and remain current with business changes in order to provide recommendations to meet the needs of business partners.
• Developing and maintaining strong relationships with external regulators, auditors, and industry associations, staying informed of regulatory expectations and best practices.

How You’ll Succeed

• Continuous improvement – Orchestrate effective leadership behavior, improvement methods, and enabling technologies to inspire a culture of sustainable continuous improvement.
• Communication – Exhibit strong verbal and written communication skills. Can communicate effectively with internal and external teams, and different lines of business. Ability to effectively communicate with senior executives.
• Business Acumen – Strong understanding of control frameworks, regulations, management control environments, audit, corporate policies and standards, business processes, and new industry level guidance
• Relationship Building – Liaise and respond to internal stakeholder inquiries and requests, providing professional high-quality service to ensure stakeholder satisfaction.
• Understand Requirements – Conduct analysis of processes and functional requirements to document and communicate the best practices to internal stakeholders. Provide proactive advice and guidance to internal stakeholders to ensure that the requirements and work packages are appropriately defined and completed.

Who You Are

• You can demonstrate a minimum of 6-8 years working within an audit, risk or governance environment in Financial Services with an in-depth understanding of IT and IS risk assessments and control testing. Industry assessment experience (e.g. NYDFS, FFIEC, GLBA, ITL, etc.) is an asset.
• You are a self-starter with strong organization skills.
• You embrace and advocate for change. You continuously evolve your thinking and the way you work in order to deliver your best. You are highly flexible and adaptable to change.
• You know that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• You are motivated by collective success. You know that teamwork can transform a good idea into a great one. You know that an inclusive team that enjoys working together can bring a vision to life.
• You are a caring and accountable leader. You're passionate about developing and coaching to bring out the best in people. You have led diverse, high performing teams.
• You are an innovative thinker and leader with an ability to lead and motivate cross-functional, interdisciplinary teams.
• You give meaning to data. You enjoy investigating complex problems and making sense of information. You communicate detailed information in a meaningful way leveraging data analysis and visualization skills

EEO Employer

Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at employeeservices@apexsystems.com or 844-463-6178.