Manager, Compliance Testing & Risk Assessments
Start a Rewarding Career with Alliant
What will your day look like?
You will assist in the development, execution, and evolution of Alliant’s risk assessment framework. In addition, the Manager is responsible for developing, maintaining, and enhancing Alliant’s second line of defense compliance testing program. Core functions include developing and executing an annual risk assessment plan, developing and leading the team’s execution of an annual compliance testing plan, providing clear and contextual communications to first line leaders based on assessment and testing findings, and other special projects as assigned.
The Manager is responsible for leading and coaching his/her team to drive performance, individual development, engagement, retention, and talent acquisition. General direction is received from the Vice President, Compliance & Chief Compliance Officer.
Responsibilities
Do you see yourself doing this?
- Maintain and evolve Compliance’s risk assessment framework that informs management and the board of directions of inherent and residual compliance risk as well as direction of risk.
- Collaborate with other compliance teams such as Global Financial Crimes, Fair and Responsible Banking, UDAAP, and Privacy to incorporate their requirements and approach into overall risk assessment framework.
- Develop and execute an annual risk assessment schedule that is approved by the CCO and management committee overseeing compliance risk.
- Consult with first line management teams on which regulations have been mapped as applicable to their functions and the impact of inherent and residual risk assessment observations.
- Partner with Third Party Risk Management and Procurement on due diligence and risk assessment of vendors and service providers
- Develop and execute a risk-based second line of defense testing program and a suite of reports for senior management and the Board of Directors.
- Effectively communicate complex regulatory requirements and testing results to business partners.
- Provide insights to improve regulatory posture based on learnings from testing engagements.
- Identify control weaknesses and opportunities to improve residual compliance risk.
- Maintain policies, standards and procedures related to second line of defense testing.
- Translates strategic and operating plans into meaningful direction of projects, goals, priorities and activities; delivering on strategy through quality execution and best practice adaptation.
- Captures, analyzes, and understands the internal environment, team dynamics, and talent capabilities to address organizational refinement, agility and growth.
- Champions Employee/Internal Customer Engagement, employee development and all cultural hallmarks through a strong leadership signature and a growing command of Alliant’s leadership competencies
- Continually assesses and provides discerning development, insightful coaching and talent utilization/optimization for direct reports
- Applies High Performance Management practices in leading an engaged workforce in order to effectively leverage the full potential and talent of the function
- Provides a structural and consistent approach to ensure that individual development plans are in place, performance management is consistent, performance management process is respected and followed, and coaching and feedback are provided on a regular and dynamic basis
- Work with direct reports and help seek out growth opportunities for your reports; continually challenge reports to maximize their engagement and productivity
- Help propagate messaging across the organization that fosters a broader knowledge of Compliance, promotes collaboration and influences constructive and positive change
Qualifications
What makes you a great fit?
You’ll be a great fit if in addition to the completion of a Bachelor’s degree required, and you have:
- 5+ years’ experience in diverse compliance roles and responsibilities, required
- Broad financial services knowledge and industry best practices for continuously improving a proactive Compliance Management System
- Excellent analytical skills
- Demonstrated leadership, management and collaboration abilities
- Prior experience serving as a change agent in a growing organization
- Demonstrated critical thinking and problem-solving skills
- Excellent team work and interpersonal skills
- Exceptional written and verbal communication skills
- Detail oriented and demonstrated ability to handle multiple assignments simultaneously in a time-bound schedule
- Proficient with Microsoft Office Products: Word, Excel, Outlook and PowerPoint
When you’re happy, we’re happy!
As a thank you for joining our team, you’ll benefit from:
- Competitive medical, dental, and free vision benefits
- Competitive compensation plan
- Contributions towards gym memberships
- Generous PTO and banking holidays off