Job Summary:

The Associate Director, Risk and Control Governance is responsible for driving the organization's compliance efforts with the Sarbanes-Oxley Act and regulatory obligations, as well as developing the continued maturation of the organization's broader enterprise risk management framework. This role involves collaborating with cross-functional teams, senior leadership, and external auditors to enable business initiatives through the identification, assessment, and mitigation of material risks through effective internal control.

Primary Responsibilities:

• Operate as first point of contact for auditors and external stakeholders related to the organization's SOX compliance program.
• Ensure the design, implementation, and maintenance of effective internal controls over financial reporting (ICFR).
• Prepare and present reports on control deficiencies, remediation plans, and progress to management
• Partner with leaders in Finance, Information Security, Data Privacy, Compliance and business areas to improve effectiveness and efficiency of risk management activities
• Develop and implement additional value-added enterprise risk management initiatives that support the organization's overall risk management and commercial objectives
• Provide oversight and advice on the compliance with the Risk Management and Control Framework
• Support the development and implementation of risk management strategy
• Collaborate with stakeholders to more fully develop and articulate the company's risk management framework including clarifying roles and responsibilities of three lines of defense and developing and implementing an approach to manage risk within the company's risk tolerance
• Supports the department on preparation for any Enterprise Risk Management related examinations conducted by external parties such as regulatory agencies or internal audit
• Supporting the Head of Risk and Control with the implementation of the Enterprise Risk Management (ERM) Framework in order to establish an effective risk based system to identify, measure, monitor, and control enterprise-wide risks
• Implementation and maintenance of a risk control self-assessment system for enterprise risk management
• Building, maintaining and enhancing business relations with department and business heads for the smooth implementation of risk management activities across the organization
• Define and maintain policies and SOPs for ERM framework components (risk register, RCSAs, issue management, incident management)

Role Requirements

• Strong understanding of overall products, processes and systems, able to connects the dots and effectively assist in enabling business objectives from risk and control view
• 10+ years of progressive experience in audit, risk management, or equivalent
• Strong communication skills and the ability to engage effectively with Senior Leadership
• Demonstrated proficiency in managing Sarbanes Oxley compliance in a highly complex environment
• Effective in prioritization and deliver on timely manner even-through an unexpected event or high-pressure situation
• Able to learn quickly and takes ownership

Preferred Skills

• 2(+) years of risk management/audit experience in Financial Technology/Services
• Demonstrated experience in leading a team
• CPA, CIA, and/or CISA