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Position: Business Unit Risk and Controls Manager
Locations: Charlotte, NC and Denver, CO
This role requires a deep understanding of risk management practices. Individual will need knowledge and understanding of Financial Services regulations and compliance and also have experience collaborating with Information Technology Partners. This person will require a high degree of insight into not only the financial markets and industry practices, but must understand interdependencies of the various business models within the business area and the TIAA-CREF organization. A strong understanding of the evolution of the industry and how the organization must adapt to sustain its competitive advantage is a must. Operational execution with a focus on action and accomplishing results; establishes appropriate plans / goals, demonstrates a strong commitment to organizational success, is able to identify and access resources across the company to accomplish projects, and handles multiple projects simultaneously.
Key Responsibilities and Duties:
In this role, the individual will also work with managers and directors of a business unit to confirm proper oversight responsibility for risk and compliance in their respective unit.
• Facilitate and lead risk mitigation strategies, develop appropriate controls to proactively prevent and detect risks.
• This position will be responsible for leading multiple key and high impact efforts related to logical security. This will include:
o Support business management and IT during performance of entitlement reviews and provide guidance as necessary.
o Partnership with key stakeholders in IT, Information Security, Internal Audit, the businesses, and external auditors to support efficient and effective reviews and proactively identify and remediate issues.
o Development of a short term and long term vision to enhance the review process to promote both enhanced effectiveness and efficiency in conjunction with key stakeholders.
• Responsible to ensure effective remediation of non-compliant situations within all impacted business unit through the re-design of process/controls and testing of their effectiveness.
• Manages the day-to-day oversight of the planning and performance of control and process audits and compliance with standards and regulations.
• Support risk and control self-assessment and related processes and the optimization of the control environment
• Promotes the adoption of a controls and compliance culture through training and consulting activities.
• Is able to identify and access resources across the company to accomplish projects, and handles multiple projects simultaneously
• Regularly monitor and report progress towards goals
• Establish an integrated and collaborative relationship with 2nd and 3rd line of defense partners (Risk, Compliance, and Audit) to ensure continued focus, and successful remediation of issues.
• Ongoing monitoring of risk management issues and mitigations, such as audit, compliance MAPS and other control activities.
• Responsible for ensuring the business area develops and maintains required risk and compliance standards
• Oversight of Line of Business and Support Area compliance with corporate impact mitigation strategies.
• Conduct periodic assessment and reporting of the status of the program including gap reporting, tracking and mitigation management, and overall business disruption residual risk levels.
Basic Qualifications - Required Skills:
• 5 – 10 years Extensive knowledge and understanding of risk management and compliance practices and principles, including experience with internal or external audit, regulations, internal controls assessment and change management
• Bachelor’s Degree
• Experience with Risk identification
• Proven track record managing projects and/or staff
• Experience in Information Technology General Controls. Significant experience in Logical Security Access Management control environments.
Preferred Qualifications - Desired Skills:
• MBA, JD, CPA, CISA, and/or CIA
• 5-10 years of accounting, business process re-engineering, Internal Audit, or financial audit experience.
• Significant experience leading, developing, or overseeing controls for Logical Access Management in Financial Services.
• Strong ability to influence others and lead independent of direct supervision. Consistently exemplifies cross-company collaboration and partnership.
• Excellent EXCEL, PowerPoint, Word and Visio skills
• Comfortable communicating with all levels of the organization (written and verbal
• Analytical thinker with the ability to multi-task and prioritize; attention to detail, planning and follow-up
• Ability to influence upwards and downwards to accomplish critical tasks.
• Project/Program Management experience.
• Experience SOX, FICCA, and/or SSAE16 SOC1/SAS70
• Strong track record of execution, overcoming hurdles and driving results.
• Process Improvements and Reengineering.
• Six Sigma, LEAN, strategy, business process re-engineering, management consulting (internal or external).
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