Vice President - Compliance and Ops Risk Testing (Individual Contributor)

If you’re a strategic thinker who is passionate about driving solutions and mitigating risk, you’ve found the right team. As part of our dynamic environment, you’ll have the opportunity to lead and innovate, ensuring our operations align with strategic goals.
Job summary:

As a Vice President, Compliance and Operations Risk Tester within the Testing Center of Excellence team, you will play a pivotal role in enhancing our compliance and operational risk management. You will be responsible for executing testing processes with precision and accountability, ensuring alignment with the firm's highest risks. Your deep understanding of principles, practices, and theories in risk and control testing will be crucial in identifying unmitigated risks and ensuring a cohesive testing framework. You will leverage your advanced analytical thinking and control evaluation skills to conduct in-depth evaluations of complex issues, and your proficient business acumen to align testing efforts with strategic goals.

Job Responsibilities: 

• Lead the development and execution of comprehensive testing strategies for the assigned function's control environment to ensure alignment with SOX, other regulatory frameworks & with the firm's risk priorities.

• Oversee the comprehensive testing processes with precision and accountability to assess the control environment, identify gaps and prepare robust documentation including process documents, process flows, and overview documents that support testing conclusions.

• Manage complex testing initiatives, applying advanced project management skills to ensure timely and efficient delivery of outcomes.

• Oversee and drive issue validation, action plan quality and closure discipline by partnering with control owners to ensure remediation aligns with risk acceptance and compliance expectations.

• Lead stakeholder engagement by facilitating meetings with business owners and stakeholders at various management levels, fostering collaboration across engagements and effectively influencing stakeholders during challenging discussions.

• Make strategic decisions that have a wide-ranging impact throughout the function, using deep knowledge of policies/standards/procedures & risk management practices to ensure accurate implementation of compliance requirements thereby strengthening the firm's compliance and operational risk management framework.

Required Qualifications, Capabilities and Skills:

• Bachelor's degree in business, finance, or related field; or equivalent work experience. Minimum of 13 years of work experience in controls testing, audit, operational risk management and managing testing processes within a risk & control environment.

• Strong stakeholder management skills, with experience in fostering relationships with senior stakeholders and effectively communicating testing strategies and outcomes.

• Advanced proficiency in project management and time management, with a history of delivering results that accelerate business objectives.

• Demonstrated proficiency in advanced analytical thinking and problem solving skills with a track record of systematically evaluating complex situations to extract key insights, coupled with excellent written and verbal communication skills to influence business leaders in a meaningful and actionable manner.

• Demonstrated expertise in MS Office applications, with advanced skills in Excel, Word, and PowerPoint highly recommended.

Preferred Qualifications, Capabilities and Skills:

• Professional qualifications like CA, CPA, MBA Finance, CIA is preferred.

• Audit & control testing background / experience.

• Proven track record in developing and implementing comprehensive testing strategies that align with regulatory requirements and firm policies. 

• Experience with automation and AI-driven testing frameworks is highly desirable, along with the ability to innovate, challenge the status quo and proactively identify automation opportunities.