Senior Compliance Manager Testing

Description

Denver, CO – Must be local to Denver, CO

MUST HAVE: Knowledge and experience with compliance monitoring & testing concepts.

MUST HAVE: Understanding of corporate compliance requirements.

MUST HAVE: 8+ years of experience executing monitoring and testing functions in a banking institution, regulatory agency, or major consulting company

MUST HAVE: Strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge.

(Compliance based professional certification preferred.)

Salary: $125k-145k depending on knowledge, skills, abilities, experience, and location. 

Sunflower Bank, N.A. is looking for an energetic, highly motivated individual to fill the position of a full-time Senior Compliance Manager Testing at our Denver, CO location.

Hybrid options available.

Summary

In support of the Bank’s overall compliance management systems (CMS), the Senior Compliance Manager - Testing engages with various business lines to assist with internal strategies and initiatives ensuring that bank programs, practices, and financial interests are maintained; as well as making sure that the Bank is complying with applicable federal and state laws and regulations.

The role will support the development and ongoing oversight of a sustainable compliance monitoring & testing program strategy and governance structures to ensure internal controls are evaluated for effectiveness. Additionally, the role will focus on the execution of our monitoring and testing engagements to validate the design and effectiveness of internal controls, perform control reporting and escalating of control issues, and validating adequacy of remediation taken to address reported issues.

The ideal candidate will possess and demonstrate knowledge and experience with compliance monitoring & testing concepts, including risk-based test planning, process and control design/operating effectiveness methods, issue validation, and use of advanced technology and data analytics techniques to perform real-time monitoring and periodic testing. The ideal candidate will also understand corporate compliance requirements (i.e. Financial Crimes Compliance, Sanctions, Trade, Anti Bribery & Corruption etc.).

Primary Responsibilities

• Work closely with Compliance, Legal, Operations and other cross-functional teams to understand the overall business environment and be the point of contact for compliance monitoring and testing engagements from risk-based planning, designing test scripts, and executing against them
• Support the development of a robust validation and testing plan to evaluate risk, monitor for compliance with rules, laws, and regulations, and use monitoring and testing to meaningfully improve process and control effectiveness
• Use visualization techniques to display data and the results of analysis in clear forms that can be understood by non-technical readers and stakeholders, including reporting on periodic basis to functional leaders
• Support an interactive program that provides stakeholders with insight into compliance trends, themes, issues, and root causes
• Identify and evaluate emerging risks and present findings to functional leadership
• Ensure risk assessments appropriately incorporate results of monitoring and testing
• Provide support to the compliance program on other compliance initiatives as needed
• Maintain effective communication channels with other groups, including other compliance leaders, during all facets of engagement, including issue resolution.
• Acting as an agent for positive change with agility, adaptability, and flexibility
• Takes ownership and executes on priorities to deliver results in a proactive and timely manner.
• Perform the job in accordance with applicable industry laws and regulations as well as the policies and procedures established by the company.
• Responsible for upholding Fair and Responsible Banking practices and Code of Ethics and Conduct guidelines.
• Understand and participate in the Bank’s Community Reinvestment Act program.
• Perform other duties as assigned.

Education / Experience

• Communication experience, along with facilitation, analytical, and presentation skills
• Experience collaborating with multiple technical and non-technical teams to deliver successful outcomes
• Experience with applicable laws and regulations to transform requirements into monitoring or testing scripts, policies, procedures and/or training
• Experience providing