Job Information

The Lead, Governance, Risk and Compliance, has strong critical and strategic thinking skills, and is an excellent communicator who enjoys collaborating with the team. The position will focus on risk management and compliance programs, including risks and controls, training and outreach, program/project management and scenario analysis. The ideal candidate has experience in risk management, project management, scenario analysis, and is passionate about process transformation and optimization.

The role will report to the Manager, Records Management and Compliance.

Key Job Functions

• First Line Control Testing – Lead First Line Control Testing, plan, design, oversee and execute control testing in accordance with the enterprise control testing program standard, with support from other team members. Analyze results and provide recommendations to management, including with regard to process optimization, interacting with all levels of management to review progress and results.

• Training and Outreach – Lead training program for Compliance and ERM working with the Principal, Human Capital Programs, coordinating content, delivery and reporting on approximately 15 internal training requirements, including role-based training and certifications. Independently work with leaders within Compliance and ERM to advance training goals, and, where appropriate, design and develop content, assess needs for additional training, evaluate the effectiveness of training programs, create and distribute learning materials and assist with Compliance outreach such as Compliance and Ethics Week.

• Operations—Manage and coordinate (i) enterprise responses to GSE Vendor Assessments and government surveys, (ii) Compliance responses to PwC financial audit and SOC requests and (iii) departmental liaison for BCP/DR. Also, lead initiatives to organize document management system and electronically tag records, working with the Records team.

• Business Risk and Control Champions Program – As requested, serve as Program Lead for the Company’s risk and control liaison program, including agenda and content development, tracking and reporting on initiatives, decisions and follow up. Serve as the connection point and where appropriate, subject matter expert, between business units and second line (ERM, Compliance), fostering partnerships and collaboration.

• Scenario Analysis – Lead scenario analysis exercises focused on Financial Crimes risk, working with the Cross Functional Financial Crimes Working Group, one or two per year, may be short or long tail. Work directly with management from all areas.

• Project/Program Manager, including GRC Tool—Serve as program/project manager for Compliance and possibly ERM, initiatives, including Governance, Risk and Compliance tool, special projects such as AI and the like, leveraging project management professional (PMP) methodologies and practices. Develop project/program plans of action, including tasks/deliverables, milestones, and definitive timelines. Track, report and follow up on project progress, issues, and risks to ensure timely high quality project delivery. Engage in subject matter as appropriate; perform gap and data analysis to address program gaps or deficiencies. 

• Special Projects – Manage and administer special projects based on departmental needs, also intended as growth opportunities.