445 Control Testing jobs in the United States
Risk & Control Testing & Assessment AVP
85282 Tempe, Arizona
MUFG
Posted 17 days ago
Job Viewed
Job Description
**Do you want your voice heard and your actions to count?**
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Additional Job Description
In this role you will focus on implementing frameworks designed to identify, evaluate, and manage technology-related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing technology assets and third-party vendor engagements; leading or supporting various programs, including risk and control self-assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes.
As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations & Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk. Control testing is an integral part of the bank's compliance with policies and standards, identifying whether controls are operating as intended to mitigate associated risk.
**RESPONSIBILITIES**
+ Support the execution and documentation of ITGC testing for in-scope processes across technology and First Line of Defense (FLoD) business units
+ Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and develop/maintain test scripts that validate controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm
+ Execute testing of ITGCs and application controls based on internal and industry standards and guidelines for design and effectiveness
+ Participate in technology walkthroughs for ITGCs and application controls and prepare meaningful documentation
+ Coordinate control testing activities, including logistical scheduling and document retrieval to support control testing in accordance with internal requirements
+ Provide project management support in tracking and coordinating the execution of policy and standards control testing activities
+ Liaise with risk assessment team and other stakeholders to ensure control testing is in alignment with broader risk assessment activities
+ Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements across the bank
+ Develop and distribute status reporting and communication related to control testing activities
+ Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate
+ Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review
+ Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense
+ Support adoption of automated ITGC testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing
+ Work collaboratively with risk and control team to execute against technology risk governance procedures
+ Coordinate required meetings, reviews, and scheduling needs
+ Prepare materials for ongoing team meetings and meetings with senior management
**QUALIFICATIONS**
+ Bachelor's degree in computer science, information systems, technology management, or equivalent preferred
+ Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track record
+ Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)
+ 5-6 years of experience in IT risk and controls
+ 2-5 years of experience in IT risk and controls performing audit and control checks or implementation of control measures
+ At least 2 years of actual programming experience in Python, and/or Java virtual machine (JVM) languages (Java/Scala)
+ Experience in creating complex queries using structured query language (SQL)
+ Experience with process documentation, risk and control assessments, and designing/executing IT General Controls (ITGC) test scripts
+ Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations
+ Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology
+ Experience in working with multiple IT risk and control domains such as identity and access management, privileged success, vulnerability management, audit logging, privacy, data loss prevention, enterprise architecture, release management and incident response
+ Knowledge of test-driven development (TDD), behavior driven development (BDD), and/or domain driven design
+ Working knowledge of unit testing, continuous integration (CI)/continuous delivery (CD) and Jenkins
+ Experience and working knowledge of any NOSQL databases, design, and architecture
+ Combined experience in IT external audit, IT internal audit and technology risk and/or ITGC assessment for compliance with Sarbanes-Oxley (SOX)
+ Experience working in a full software development lifecycle using Agile project delivery
+ Experience in designing, implementing, and operationalizing continuous control testing and monitoring of technology controls
+ Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management and incident response
+ Preferred: experience in a project management role
+ Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality
+ Ability to support work streams with sometimes limited oversight/information from inception to completion
+ Ability to identify obstacles and work in conjunction with others to identify options/solutions
+ Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
+ Strong written and verbal communication skills to articulate information clearly and effectively
+ Strong analytical skills that can work with data, dashboards, and reporting
The typical base pay range for this role is between $88K-$111K depending on job-related knowledge, skills, experience, and location. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.
For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary ( will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Additional Job Description
In this role you will focus on implementing frameworks designed to identify, evaluate, and manage technology-related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing technology assets and third-party vendor engagements; leading or supporting various programs, including risk and control self-assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes.
As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations & Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk. Control testing is an integral part of the bank's compliance with policies and standards, identifying whether controls are operating as intended to mitigate associated risk.
**RESPONSIBILITIES**
+ Support the execution and documentation of ITGC testing for in-scope processes across technology and First Line of Defense (FLoD) business units
+ Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and develop/maintain test scripts that validate controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm
+ Execute testing of ITGCs and application controls based on internal and industry standards and guidelines for design and effectiveness
+ Participate in technology walkthroughs for ITGCs and application controls and prepare meaningful documentation
+ Coordinate control testing activities, including logistical scheduling and document retrieval to support control testing in accordance with internal requirements
+ Provide project management support in tracking and coordinating the execution of policy and standards control testing activities
+ Liaise with risk assessment team and other stakeholders to ensure control testing is in alignment with broader risk assessment activities
+ Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements across the bank
+ Develop and distribute status reporting and communication related to control testing activities
+ Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate
+ Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review
+ Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense
+ Support adoption of automated ITGC testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing
+ Work collaboratively with risk and control team to execute against technology risk governance procedures
+ Coordinate required meetings, reviews, and scheduling needs
+ Prepare materials for ongoing team meetings and meetings with senior management
**QUALIFICATIONS**
+ Bachelor's degree in computer science, information systems, technology management, or equivalent preferred
+ Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track record
+ Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)
+ 5-6 years of experience in IT risk and controls
+ 2-5 years of experience in IT risk and controls performing audit and control checks or implementation of control measures
+ At least 2 years of actual programming experience in Python, and/or Java virtual machine (JVM) languages (Java/Scala)
+ Experience in creating complex queries using structured query language (SQL)
+ Experience with process documentation, risk and control assessments, and designing/executing IT General Controls (ITGC) test scripts
+ Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations
+ Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology
+ Experience in working with multiple IT risk and control domains such as identity and access management, privileged success, vulnerability management, audit logging, privacy, data loss prevention, enterprise architecture, release management and incident response
+ Knowledge of test-driven development (TDD), behavior driven development (BDD), and/or domain driven design
+ Working knowledge of unit testing, continuous integration (CI)/continuous delivery (CD) and Jenkins
+ Experience and working knowledge of any NOSQL databases, design, and architecture
+ Combined experience in IT external audit, IT internal audit and technology risk and/or ITGC assessment for compliance with Sarbanes-Oxley (SOX)
+ Experience working in a full software development lifecycle using Agile project delivery
+ Experience in designing, implementing, and operationalizing continuous control testing and monitoring of technology controls
+ Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management and incident response
+ Preferred: experience in a project management role
+ Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality
+ Ability to support work streams with sometimes limited oversight/information from inception to completion
+ Ability to identify obstacles and work in conjunction with others to identify options/solutions
+ Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
+ Strong written and verbal communication skills to articulate information clearly and effectively
+ Strong analytical skills that can work with data, dashboards, and reporting
The typical base pay range for this role is between $88K-$111K depending on job-related knowledge, skills, experience, and location. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.
For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary ( will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
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0
Risk & Control Testing & Assessment AVP
07308 Jersey City, New Jersey
MUFG
Posted 11 days ago
Job Viewed
Job Description
**Do you want your voice heard and your actions to count?**
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Additional Job Description
In this role you will focus on implementing frameworks designed to identify, evaluate, and manage technology-related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing technology assets and third-party vendor engagements; leading or supporting various programs, including risk and control self-assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes.
As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations & Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk. Control testing is an integral part of the bank's compliance with policies and standards, identifying whether controls are operating as intended to mitigate associated risk.
**RESPONSIBILITIES**
+ Support the execution and documentation of ITGC testing for in-scope processes across technology and First Line of Defense (FLoD) business units
+ Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and develop/maintain test scripts that validate controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm
+ Execute testing of ITGCs and application controls based on internal and industry standards and guidelines for design and effectiveness
+ Participate in technology walkthroughs for ITGCs and application controls and prepare meaningful documentation
+ Coordinate control testing activities, including logistical scheduling and document retrieval to support control testing in accordance with internal requirements
+ Provide project management support in tracking and coordinating the execution of policy and standards control testing activities
+ Liaise with risk assessment team and other stakeholders to ensure control testing is in alignment with broader risk assessment activities
+ Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements across the bank
+ Develop and distribute status reporting and communication related to control testing activities
+ Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate
+ Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review
+ Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense
+ Support adoption of automated ITGC testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing
+ Work collaboratively with risk and control team to execute against technology risk governance procedures
+ Coordinate required meetings, reviews, and scheduling needs
+ Prepare materials for ongoing team meetings and meetings with senior management
**QUALIFICATIONS**
+ Bachelor's degree in computer science, information systems, technology management, or equivalent preferred
+ Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track record
+ Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)
+ 5-6 years of experience in IT risk and controls
+ 2-5 years of experience in IT risk and controls performing audit and control checks or implementation of control measures
+ At least 2 years of actual programming experience in Python, and/or Java virtual machine (JVM) languages (Java/Scala)
+ Experience in creating complex queries using structured query language (SQL)
+ Experience with process documentation, risk and control assessments, and designing/executing IT General Controls (ITGC) test scripts
+ Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations
+ Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology
+ Experience in working with multiple IT risk and control domains such as identity and access management, privileged success, vulnerability management, audit logging, privacy, data loss prevention, enterprise architecture, release management and incident response
+ Knowledge of test-driven development (TDD), behavior driven development (BDD), and/or domain driven design
+ Working knowledge of unit testing, continuous integration (CI)/continuous delivery (CD) and Jenkins
+ Experience and working knowledge of any NOSQL databases, design, and architecture
+ Combined experience in IT external audit, IT internal audit and technology risk and/or ITGC assessment for compliance with Sarbanes-Oxley (SOX)
+ Experience working in a full software development lifecycle using Agile project delivery
+ Experience in designing, implementing, and operationalizing continuous control testing and monitoring of technology controls
+ Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management and incident response
+ Preferred: experience in a project management role
+ Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality
+ Ability to support work streams with sometimes limited oversight/information from inception to completion
+ Ability to identify obstacles and work in conjunction with others to identify options/solutions
+ Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
+ Strong written and verbal communication skills to articulate information clearly and effectively
+ Strong analytical skills that can work with data, dashboards, and reporting
The typical base pay range for this role is between $88K-$111K depending on job-related knowledge, skills, experience, and location. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.
For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary ( will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.
Additional Job Description
In this role you will focus on implementing frameworks designed to identify, evaluate, and manage technology-related risks and controls across the company or a particular business or function. Responsibilities include integrating that framework with business operations and keeping key stakeholders across the organization informed about new or existing technology assets and third-party vendor engagements; leading or supporting various programs, including risk and control self-assessment (RCSA), process, risk, and control, and other risk policies, standards, and processes.
As part of an effective risk and control framework, Operations and Technology for the Americas (OTA) documents and executes risk and control assessments across processes related to Operations & Technology. There is a comprehensive coverage and joint accountability model that promotes early identification and assessment of operational and technology risk, effective design and evaluation of controls, and sustainable solutions to mitigate operational and technology risk. Control testing is an integral part of the bank's compliance with policies and standards, identifying whether controls are operating as intended to mitigate associated risk.
**RESPONSIBILITIES**
+ Support the execution and documentation of ITGC testing for in-scope processes across technology and First Line of Defense (FLoD) business units
+ Partner with stakeholders, including process owners and control officers, to document controls, enhance control language, and develop/maintain test scripts that validate controls are being performed in compliance with bank policies, procedures, and regulatory requirements to mitigate technology risk to the firm
+ Execute testing of ITGCs and application controls based on internal and industry standards and guidelines for design and effectiveness
+ Participate in technology walkthroughs for ITGCs and application controls and prepare meaningful documentation
+ Coordinate control testing activities, including logistical scheduling and document retrieval to support control testing in accordance with internal requirements
+ Provide project management support in tracking and coordinating the execution of policy and standards control testing activities
+ Liaise with risk assessment team and other stakeholders to ensure control testing is in alignment with broader risk assessment activities
+ Create synergies by identifying opportunities to repurpose control testing results to satisfy assessment requirements across the bank
+ Develop and distribute status reporting and communication related to control testing activities
+ Provide ongoing communication to internal stakeholders throughout the testing process to keep them apprised of progress and findings, escalating when appropriate
+ Prepare written reports that summarize the objectives, scope, findings, and conclusions for each assigned review
+ Support iterative review and challenge of assessment results, working with appropriate stakeholders across the lines of defense
+ Support adoption of automated ITGC testing platform by identifying controls for inclusion and respective prerequisites and logic for automated testing
+ Work collaboratively with risk and control team to execute against technology risk governance procedures
+ Coordinate required meetings, reviews, and scheduling needs
+ Prepare materials for ongoing team meetings and meetings with senior management
**QUALIFICATIONS**
+ Bachelor's degree in computer science, information systems, technology management, or equivalent preferred
+ Preferred: degree from a competitive school, demonstrating a strong academic and extracurricular track record
+ Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM) or Certified in Risk and Information Systems Control (CRISC)
+ 5-6 years of experience in IT risk and controls
+ 2-5 years of experience in IT risk and controls performing audit and control checks or implementation of control measures
+ At least 2 years of actual programming experience in Python, and/or Java virtual machine (JVM) languages (Java/Scala)
+ Experience in creating complex queries using structured query language (SQL)
+ Experience with process documentation, risk and control assessments, and designing/executing IT General Controls (ITGC) test scripts
+ Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations
+ Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology
+ Experience in working with multiple IT risk and control domains such as identity and access management, privileged success, vulnerability management, audit logging, privacy, data loss prevention, enterprise architecture, release management and incident response
+ Knowledge of test-driven development (TDD), behavior driven development (BDD), and/or domain driven design
+ Working knowledge of unit testing, continuous integration (CI)/continuous delivery (CD) and Jenkins
+ Experience and working knowledge of any NOSQL databases, design, and architecture
+ Combined experience in IT external audit, IT internal audit and technology risk and/or ITGC assessment for compliance with Sarbanes-Oxley (SOX)
+ Experience working in a full software development lifecycle using Agile project delivery
+ Experience in designing, implementing, and operationalizing continuous control testing and monitoring of technology controls
+ Preferred: knowledge in technology areas including, but not limited to: access management, network security, enterprise architecture, release management and incident response
+ Preferred: experience in a project management role
+ Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality
+ Ability to support work streams with sometimes limited oversight/information from inception to completion
+ Ability to identify obstacles and work in conjunction with others to identify options/solutions
+ Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
+ Strong written and verbal communication skills to articulate information clearly and effectively
+ Strong analytical skills that can work with data, dashboards, and reporting
The typical base pay range for this role is between $88K-$111K depending on job-related knowledge, skills, experience, and location. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.
For more information on our Total Rewards package, please click the link below.
MUFG Benefits Summary ( will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.
We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
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1
GRC Control testing
10176 New York, New York
Cognizant
Posted 11 days ago
Job Viewed
Job Description
**Job Title - GRC control testing**
Information Risk Governance (IRG) consists of multiple teams and subject matter experts, assessing risk for a multitude of technologies, processes, and controls. The Financial Reporting Controls team, testing the technology controls for applications and infrastructure supporting business processes, has an exciting opportunity to contribute to the management of emerging risks within the critical technology landscape.
As a Specialist, you'll help deliver technology control testing results for maintaining and strengthening the organization's risk posture. Additionally, you'll look at internal processes to drive continuous improvement to our processes and standards and contribute to the environment with efficiencies and innovation. You'll be relied upon to work closely with internal clients to harvest good working relationships and building a strong rapport to obtain necessary documentation and provide advisement for compliance purposes. The technology landscape is rapidly evolving, so it will be imperative to navigate through the changing business environments and associated risks.
In this role you will:
- Test multiple technology infrastructure, operations, and security controls for multiple applications concurrently.
- Applies critical thinking and analysis to independently execute control testing and documenting of results while adhering to professional and internal standards.
- Identifies and documents deviations and exceptions within testing results, while assessing the risk criticality and impact.
- Participates and leads aspects of innovation and automation initiatives for team uplift and efficiency of internal processes.
- Effectively uses strong communication skills for partnering with internal clients and business entities.
- Demonstrates thought leadership to team by reviewing work performed by other team members and providing verbal and written feedback.
May perform other responsibilities as assigned.
***Applications will be accepted until 10/23/25***
Salary and Other Compensation:
The annual salary for this position is between $63,450 - $108,000 depending on experience and other qualifications of the successful candidate.
Benefits: Cognizant offers the following benefits for this position, subject to applicable eligibility requirements:
Medical/Dental/Vision/Life Insurance
Paid holidays plus Paid Time Off
401(k) plan and contributions
Long-term/Short-term Disability
Paid Parental Leave
Employee Stock Purchase Plan
Disclaimer: The salary, other compensation, and benefits information is accurate as of the date of this posting. Cognizant reserves the right to modify this information at any time, subject to applicable law.
Cognizant is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law.
Information Risk Governance (IRG) consists of multiple teams and subject matter experts, assessing risk for a multitude of technologies, processes, and controls. The Financial Reporting Controls team, testing the technology controls for applications and infrastructure supporting business processes, has an exciting opportunity to contribute to the management of emerging risks within the critical technology landscape.
As a Specialist, you'll help deliver technology control testing results for maintaining and strengthening the organization's risk posture. Additionally, you'll look at internal processes to drive continuous improvement to our processes and standards and contribute to the environment with efficiencies and innovation. You'll be relied upon to work closely with internal clients to harvest good working relationships and building a strong rapport to obtain necessary documentation and provide advisement for compliance purposes. The technology landscape is rapidly evolving, so it will be imperative to navigate through the changing business environments and associated risks.
In this role you will:
- Test multiple technology infrastructure, operations, and security controls for multiple applications concurrently.
- Applies critical thinking and analysis to independently execute control testing and documenting of results while adhering to professional and internal standards.
- Identifies and documents deviations and exceptions within testing results, while assessing the risk criticality and impact.
- Participates and leads aspects of innovation and automation initiatives for team uplift and efficiency of internal processes.
- Effectively uses strong communication skills for partnering with internal clients and business entities.
- Demonstrates thought leadership to team by reviewing work performed by other team members and providing verbal and written feedback.
May perform other responsibilities as assigned.
***Applications will be accepted until 10/23/25***
Salary and Other Compensation:
The annual salary for this position is between $63,450 - $108,000 depending on experience and other qualifications of the successful candidate.
Benefits: Cognizant offers the following benefits for this position, subject to applicable eligibility requirements:
Medical/Dental/Vision/Life Insurance
Paid holidays plus Paid Time Off
401(k) plan and contributions
Long-term/Short-term Disability
Paid Parental Leave
Employee Stock Purchase Plan
Disclaimer: The salary, other compensation, and benefits information is accurate as of the date of this posting. Cognizant reserves the right to modify this information at any time, subject to applicable law.
Cognizant is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law.
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2
Quality Assurance Control Testing
10261 New York, New York
Axelon
Posted today
Job Viewed
Job Description
Global Financial Firm located in New York City, NY has an immediate contract opportunity for an experienced Quality Assurance Control Testing
"This role is currently on a Hybrid Schedule.
You will need to have reliable internet, computer and android or iphone for remote access into the client systems during remote work.
We will be expected in the office weekly 3 days depending on the team requirement.
***Video/ f2f interviews are required prior to all offers.
Pay rate range: $73.00- $75.00 Negotiable based upon years of experience
Job Title : Quality Assurance
Job Description
Individuals in Quality Assurance, Monitoring & Testing are responsible for the assessment of outcomes from activities and processes against conformance with applicable requirements to strengthen risk management quality such as quality testing performed for business function quality control and transformation lead quality control post completion of an activity/process. This includes the development and execution of Monitoring and Testing for controls, such as control design assessment, design of operational effectiveness for monitoring & testing tools, monitoring/testing design assessment, and execution of monitoring/testing tools to assess the effectiveness of key controls designed to address defined risks.
The DART CAO - MCA and EUC Governance & Analytics Team resides within the Controls function of the DART Chief Administrative Office. The primary responsibilities of the team includes the centralized monitoring of common control execution as well as both the monitoring and testing of more localized un-common controls across the various processes (Global Process MCA Profiles) the DART organization has adopted and/or owned as well as providing centralized oversight of the governance of EUCs and ITeSS.
Responsibilities :
Qualifications :
"This role is currently on a Hybrid Schedule.
You will need to have reliable internet, computer and android or iphone for remote access into the client systems during remote work.
We will be expected in the office weekly 3 days depending on the team requirement.
***Video/ f2f interviews are required prior to all offers.
Pay rate range: $73.00- $75.00 Negotiable based upon years of experience
Job Title : Quality Assurance
Job Description
Individuals in Quality Assurance, Monitoring & Testing are responsible for the assessment of outcomes from activities and processes against conformance with applicable requirements to strengthen risk management quality such as quality testing performed for business function quality control and transformation lead quality control post completion of an activity/process. This includes the development and execution of Monitoring and Testing for controls, such as control design assessment, design of operational effectiveness for monitoring & testing tools, monitoring/testing design assessment, and execution of monitoring/testing tools to assess the effectiveness of key controls designed to address defined risks.
The DART CAO - MCA and EUC Governance & Analytics Team resides within the Controls function of the DART Chief Administrative Office. The primary responsibilities of the team includes the centralized monitoring of common control execution as well as both the monitoring and testing of more localized un-common controls across the various processes (Global Process MCA Profiles) the DART organization has adopted and/or owned as well as providing centralized oversight of the governance of EUCs and ITeSS.
Responsibilities :
- Support control activities of the Managers Control Self-Assessment (MCA) program, also known as Risk & Control Self-Assessment (RCSA)
- ssist oversee of the MCA program, including the annual/semi-annual/quarterly/monthly attestation, quality oversight, and related reporting.
- Support the execution of the MCA in accordance with the ORM Policy & Framework, as well as applicable Policies, Standards, and Procedures
- Maintain a robust tracking and reporting of MCA inventory including key metrics to provide visibility on the status of control gaps and MCA quality control processes
- Ensure all results of control performance are documented in GRC, properly communicated to the GAU Owners, as well as summarized to DART senior management
- Support reporting on quality control outcomes and control effectiveness to top management and relevant stakeholders
- Participate in the oversight of the operations of Client's governance committees, including coordinating meetings, managing agendas, and ensuring follow-up on action items.
Qualifications :
- Minimum of 6-10 years of experience in operational risk management, compliance, audit, or other control-related functions in the financial services industry.
- bility to identify, measure, and manage key risks and controls.
- Strong knowledge in the development and execution for controls.
- Proven experience in control related functions in the financial industry.
- Proven experience in implementing sustainable solutions and improving processes.
- Understanding of compliance laws, rules, regulations, and best practices.
- Strong analytical skills to evaluate complex risk and control activities and processes.
- Strong verbal and written communication skills, with a demonstrated ability to engage at the senior management level.
- Strong problem-solving and decision-making skills.
- bility to manage multiple tasks and priorities.
- Proficiency in Microsoft Office suite, particularly Excel, PowerPoint, and Word.
- Proficiency in Business Intelligence Tooling (such as Tableau, Micro-Strategy etc.) is a plus.
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3
Compliance Manager, Control Testing and Assurance
33747 Florida, Florida
Raymond James Financial, Inc.
Posted 4 days ago
Job Viewed
Job Description
**Essential Duties and Responsibilities**
+ Leads and executes compliance testing to assess the design and effectiveness of controls related to Privacy, Records Governance, and IT compliance programs.
+ Researches, interprets, and applies regulatory requirements to test objectives and business processes.
+ Develops and maintains testing documentation, including planning, fieldwork, reporting, and remediation tracking.
+ Identifies control gaps and recommends enhancements to policies, procedures, and systems in collaboration with SMEs.
+ Validates remediation efforts and ensure timely closure of compliance issues.
+ Ensures testing deliverables meet Quality Assurance standards and align with the Compliance Testing Methodology.
+ Manages multiple testing engagements and acts as a liaison between business units and Compliance Risk Management.
+ Collaborates cross-functionally with Legal, Risk, IT, and other departments to strengthen internal controls.
+ Supports automation initiatives to improve testing efficiency and control coverage.
+ Contributes to updates of the annual and quarterly ICRMA testing plan based on regulatory and business changes.
+ Prepares and delivers clear, concise reports and presentations to senior leadership.
+ Stays current on regulatory trends, industry best practices, and emerging risks.
**Knowledge, Skills, and Abilities**
**Required Skills and Qualifications:**
+ Proven expertise in compliance testing, regulatory research, and control evaluation.
+ Strong analytical, investigative, and problem-solving skills.
+ Excellent written and verbal communication skills, with the ability to influence and collaborate across all levels.
+ Proficiency in Microsoft Office Suite and GRC platforms (e.g., OneTrust, ServiceNow).
+ Ability to manage multiple priorities in a fast-paced, evolving environment.
+ Familiarity with regulatory frameworks such as GDPR, CCPA/CPRA, ISO, NIST, and sector-specific regulations (e.g., SEC, FINRA, OCC).
+ Understanding of KRIs, KPIs, and the distinctions between policies, standards, procedures, and guidelines.
**Educational/Previous Experience Requirements**
+ Bachelor's degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.
~or~
+ Any equivalent combination of experience, education, and/or training approved by Human Resources.
**Licenses/Certifications**
+ None Required.
+ Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
+ Leads and executes compliance testing to assess the design and effectiveness of controls related to Privacy, Records Governance, and IT compliance programs.
+ Researches, interprets, and applies regulatory requirements to test objectives and business processes.
+ Develops and maintains testing documentation, including planning, fieldwork, reporting, and remediation tracking.
+ Identifies control gaps and recommends enhancements to policies, procedures, and systems in collaboration with SMEs.
+ Validates remediation efforts and ensure timely closure of compliance issues.
+ Ensures testing deliverables meet Quality Assurance standards and align with the Compliance Testing Methodology.
+ Manages multiple testing engagements and acts as a liaison between business units and Compliance Risk Management.
+ Collaborates cross-functionally with Legal, Risk, IT, and other departments to strengthen internal controls.
+ Supports automation initiatives to improve testing efficiency and control coverage.
+ Contributes to updates of the annual and quarterly ICRMA testing plan based on regulatory and business changes.
+ Prepares and delivers clear, concise reports and presentations to senior leadership.
+ Stays current on regulatory trends, industry best practices, and emerging risks.
**Knowledge, Skills, and Abilities**
**Required Skills and Qualifications:**
+ Proven expertise in compliance testing, regulatory research, and control evaluation.
+ Strong analytical, investigative, and problem-solving skills.
+ Excellent written and verbal communication skills, with the ability to influence and collaborate across all levels.
+ Proficiency in Microsoft Office Suite and GRC platforms (e.g., OneTrust, ServiceNow).
+ Ability to manage multiple priorities in a fast-paced, evolving environment.
+ Familiarity with regulatory frameworks such as GDPR, CCPA/CPRA, ISO, NIST, and sector-specific regulations (e.g., SEC, FINRA, OCC).
+ Understanding of KRIs, KPIs, and the distinctions between policies, standards, procedures, and guidelines.
**Educational/Previous Experience Requirements**
+ Bachelor's degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.
~or~
+ Any equivalent combination of experience, education, and/or training approved by Human Resources.
**Licenses/Certifications**
+ None Required.
+ Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
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4
Control Testing /Reporting Lead 1LOD
92604 Woodbridge, California
City National Bank
Posted 9 days ago
Job Viewed
Job Description
*CONTROL TESTING /REPORTING LEAD 1LOD*
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
View Now
5
Control Testing /Reporting Lead 1LOD
90006 Los Angeles, California
City National Bank
Posted 9 days ago
Job Viewed
Job Description
*CONTROL TESTING /REPORTING LEAD 1LOD*
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
View Now
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6
Control Testing /Reporting Lead 1LOD
85067 Phoenix, Arizona
City National Bank
Posted 9 days ago
Job Viewed
Job Description
*CONTROL TESTING /REPORTING LEAD 1LOD*
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
View Now
7
Control Testing /Reporting Lead 1LOD
28230 Charlotte, North Carolina
City National Bank
Posted 9 days ago
Job Viewed
Job Description
*CONTROL TESTING /REPORTING LEAD 1LOD*
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
WHAT IS THE OPPORTUNITY?
The 1LOD Control Testing/Reporting Lead is a key strategic and integral role for the overall success of the bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities; (ii) consulting risk owners on how to design and implement controls to mitigate the risks in a process; (iii) leading the analysts to perform control testing that evaluate the design and operating effectiveness of CNB's first line key controls; (iv)analyzing, aggregating, and articulating the results/issues/recommendations related to control testing activities; and (v) maintaining a thorough understanding of CNB's Internal Controls Management Policy, control testing methodologies, and related regulatory and compliance standards. This dynamic position provides opportunities for working across CNB, including across the business, 2LOD and internal audit.
WHAT WILL YOU DO?
* With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk mitigation activities
* Consulting risk owners on how to design and implement controls to mitigate the risks in a process
* Responsible for planning, executing, and reviewing Control Assessments (i.e. Testing) that evaluate the design and operating effectiveness of CNB's first line Key Controls
* Maintain a thorough understanding of CNB's Internal Controls Management Policy and Standards, control testing methodologies, and related regulatory and compliance standards, including but not limited to enterprise risk management, data governance, third party risk management, model risk management, business continuity, fraud risk management, and associated regulations, guidance, and regulatory expectations
* Develop robust and scalable testing modules, scripts, and other guides including testing approach for evaluating the effectiveness of CNB's first line Key Controls to mitigate key risk exposures related to regulatory requirements and CNB risk policies and standards
* Exhibit high attention to detail in documentation of control evaluation work papers and remediation of reviewer's commentary
* Exhibit high attention to detail and strategic thinking in analyzing, aggregating, and articulating the results/issues of control testing activities and value-add opportunities for improvement of Key Controls to CNB Senior Management and other stakeholders
* Contribute to the articulation of results/conclusions/memos of control testing activities and communicate to key stakeholders across CNB
* Support development, implementation, and continuous improvement of tools, templates, and best practices that support control testing and reporting activities
* Assist with the validation and closure of control issues as identified through testing
* Maintain solid working relationships with 1LOD, 2LOD and internal audit
* Supports a high-performance environment by fostering an inclusive work environment, helping/elevating peers, and taking ownership of individual developmental goals
* Acts as brand ambassador of the CoE by developing solid working relationships across the organization as to facilitate communication and strategic partnerships
* Contribute to ad-hoc assignments and special projects
WHAT DO YOU NEED TO SUCCEED?
*Required Qualifications**
* Bachelor's Degree or equivalent
* Minimum 5 years of experience in controls testing, internal audit, quality control roles, or other complimentary capacities, preferably within the financial services industry, a public accounting firm, or with a financial institutions regulator
* Minimum 3 years of experience in the financial services industry
*Additional Qualifications*
* Preferred Certifications: CPA - Certified Public Accountant, CIA - Certified Internal Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
* Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
* Experience with operating in a highly matrixed environment
* Excellent communication and presentations skills
* Demonstrated experience supporting risk projects across multiple business lines offering a wide variety of financial services products and services
* Excellent analytical and complex problem-solving skills
* Knowledge of the financial services sector, particularly with the competitive dynamics and products in banking and risk management
* Strong time management skills
*WHAT'S IN IT FOR YOU?*
*Compensation*Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:
* Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
* Generous 401(k) company matching contribution
* Career Development through Tuition Reimbursement and other internal upskilling and training resources
* Valued Time Away benefits including vacation, sick and volunteer time
* Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
* Career Mobility support from a dedicated recruitment team
* Colleague Resource Groups to support networking and community engagement
Get a more detailed look at our US
Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at AND EQUAL OPPORTUNITY EMPLOYMENT*
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.
Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
View Now
8
IT Control Testing Lead/Associate Specialist
02298 Boston, Massachusetts
Northern Trust
Posted 4 days ago
Job Viewed
Job Description
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Continue to learn, grow and evolve
No matter what greater means to you, we can help you find it. We believe in empowering our partners with the resources, support and opportunities to achieve greater and reach their full potential. A strong focus on individual career development and growth is just one way we help you reach your goals.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to strengthening the communities in which we live and work.
We are seeking an Associate Specialist, Control Tester to join our newly established Centralized 1LoD Control Testing function (1LoD Control Testing). This 1LOD Testing team aims to standardize and enhance our control testing practices across all Business Units and Corporate Functions. As a key member of this team, you will play a pivotal role in supporting risk management activities across the organization. This includes the opportunity to be immersed across multiple operational and compliance areas, with opportunities to specialize in specific areas of interest.
This role will operate under general supervision; however, will primarily work independently to actively execute control test plans and support Testers within the team with their respective execution. Regular activities include a risk-based control review, effective test execution, and an in-depth analysis of control test results to identify key trends and solutions.
The key responsibilities of the role include:
Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at
We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Continue to learn, grow and evolve
No matter what greater means to you, we can help you find it. We believe in empowering our partners with the resources, support and opportunities to achieve greater and reach their full potential. A strong focus on individual career development and growth is just one way we help you reach your goals.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to strengthening the communities in which we live and work.
We are seeking an Associate Specialist, Control Tester to join our newly established Centralized 1LoD Control Testing function (1LoD Control Testing). This 1LOD Testing team aims to standardize and enhance our control testing practices across all Business Units and Corporate Functions. As a key member of this team, you will play a pivotal role in supporting risk management activities across the organization. This includes the opportunity to be immersed across multiple operational and compliance areas, with opportunities to specialize in specific areas of interest.
This role will operate under general supervision; however, will primarily work independently to actively execute control test plans and support Testers within the team with their respective execution. Regular activities include a risk-based control review, effective test execution, and an in-depth analysis of control test results to identify key trends and solutions.
The key responsibilities of the role include:
- Leads controls testing execution including walkthroughs, design, and operating effectiveness testing.
- Performs quality review over testing workpapers (produced by other testers) to ensure execution and documentation meet First Line of Defense Control Testing Methodology and testing quality expectations.
- Lead representative to ensure relevant stakeholders are appropriately engaged in all critical testing phases.
- Provides support to Tester(s) to ensure testing is being performed effectively and efficiently.
- Responsible for monitoring all testing phases including escalation of significant deficiencies and/or testing delays.
- Compile, manage, submit and socialize required monthly, quarterly or annual reporting including test results, dashboards and/or testing issue remediation status.
- Responsible for assisting in the identification and escalation of follow-ups and potential deficiencies.
- Work closely with the business partners to obtain issue remediation action plans, track and report status of remediation actions, including maintaining dialogue with the business to ensure timely remediation of issues.
- Assist with control projects, operational and/or corporate risk initiatives, where directed.
- College or university degree is preferred
- 10+ years of risk and control experience
- Experience in financial services industry
- Deep understanding of control frameworks and testing methodologies
- Self-motivated with strong collaboration and communication skills, both verbal and written, with varying organizational levels including senior management
- Excellent analytics skills and attention to detail
- Strong interpersonal and leadership skills, including experience mentoring
- Ability to juggle multiple tasks while effectively able to work towards deadlines
Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at
We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
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