At Early Warning, we’ve powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle, Paze℠, and more. As a trusted name in payments, we partner with thousands of institutions to increase access to financial services and protect transactions for hundreds of millions of consumers and small businesses.

Positions located in Scottsdale, San Francisco, Chicago, or New York follow a hybrid work model to allow for a more collaborative working environment.

Candidates responding to this posting must independently possess the eligibility to work in the United States, for any employer, at the date of hire. This position is ineligible for employment Visa sponsorship.

Overview

The Risk and Controls Management Team is responsible for overseeing the operational risk and control framework for the company. The team partners with first line business teams to execute independent control testing validation, manage the issue management program, implement control processes and procedures, support various audit and compliance exams and organize the annual updates to business process Risk and Control Self-Assessments (RCSA), Risk and Control Matrices (RCMs) and process maps.

The Sr. Compliance Risk and Controls Manager will work closely with the Chief Compliance Officer in executing the compliance control validation program strategy and embed a standardized and consistent approach to conducting control and issue validations, as well as risk identification, reporting and mitigation. Further, the Sr. Compliance Risk and Controls Manager is responsible for ensuring the quality of the control environment, supporting first line updates to RCSAs, RCMs and process maps, and providing subject matter expertise to the business teams on a robust control testing and issue management program.

Essential Functions

• Ownership of the compliance risk and control framework, including serving as the subject-matter-expert on compliance risks, regulations, and controls that execute compliance risk management activities.
• Lead and provide direction to validation team members, complete validation work, prepare work papers to evidence validation, make recommendations, and draft final reports.
• Validate identified controls to ensure governance, evidence of execution, and appropriate monitoring across security, operational or compliance functions.
• Document validation results, prepare work papers, and draft final reports for customers summarizing validation results.
• Define and execute test scripts across various business functional areas, targeting key controls that mitigate high or critical risks.
• Provide effective challenge to business remediation plans.
• Ensure issues are reported with root cause analysis and action plans, and validate remediation.
• Independently identify risk through undefined processes or non-pre-determined methods.
• Perform and support detailed data analysis, including trends and issue identification.
• Identify emerging risks, process improvements, or training needs from results.
• Build and maintain relationships with business partners while upholding ethical independent validation standards.
• Manage work across organizational lines to achieve results and manage competing priorities.
• Support procedure reviews and document updates.
• Demonstrate strong verbal and written communication; prepare communications to support findings.
• Assist with compiling metrics for periodic reporting to key stakeholders.
• Demonstrate problem-solving and analytical skills with attention to detail.
• Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data.

Minimum Qualifications

• Bachelor’s degree in Computer Science, Business Administration, Finance, Accounting or related field, or equivalent experience.
• Experience in audit, operational risk, or risk management roles, or testing and quality assurance.
• Minimum of 8 years of progressive experience in risk and compliance management within financial services.
• Excellent written and oral communication skills.
• Experience mapping regulatory requirements to processes, risks, and controls.
• Experience mentoring team members.
• Experience preparing risk and control self-assessments and test scripts.
• Strong communication skills with ability to influence and guide others.
• Strong relationship-building skills.
• Highly organized, detail-oriented with strong analytical and technical skills.
• Proficient in Microsoft Excel and PowerPoint.
• Background and drug screen required.

Preferred Qualifications

• Prior financial institution experience.
• Project or process management experience.
• For Information Security Related Control Validation Roles:
• Strong validation or audit experience in information security, IT compliance, IT audit, or related.
• Knowledge of ISO 27002, PCI DSS 3.2 or current, NIST 800-53a, SIG, FFIEC handbooks, SOC2 Type II, GLBA, FCRA.
• Technical experience with security-related technologies (firewalls, IDS, vulnerability management, anti-virus, data loss prevention, two-factor authentication, VPN).
• Certifications such as CISA, CISM, CISSP, CCSP, CRISC, GSNA, CGIH, or equivalent.
• Additional related education and/or experience preferred.

Physical Requirements

Working conditions are a normal office environment. Primarily sedentary with extensive computer use. May require standing, walking, kneeling and reaching. Ability to lift up to 10 pounds occasionally. Requires visual acuity and dexterity to work with documents and computers. Ability to communicate with internal and external customers. Must be able to perform essential functions with or without reasonable accommodation.

The above job description is not an all-inclusive list of duties and standards. Incumbents will follow instructions and perform other related duties as assigned.

Compensation

The Base Pay Scale For This Position In Phoenix, AZ/Chicago, IL is $126,000 - $158,000 per year. In New York, NY/San Francisco, CA it is $152,000 - $189,000 per year. Additionally, candidates are eligible for a discretionary incentive plan and benefits.

Equal Opportunity

Early Warning Services is an affirmative action and equal opportunity employer. We hire regardless of race, religion, color, sex, sexual orientation, gender identity, national origin, protected veteran or disability status, or any other factor prohibited by law, and we support equal employment opportunity and affirmative action in policy and practice.

Some of the ways we prioritize health and happiness include:

• Healthcare coverage with medical, dental and vision plans, plus employer contributions to HSA or FSA.
• 401(k) with company match.
• Paid time off and holidays; paid volunteer day.
• 12 weeks of paid parental leave.
• Maven Family Planning support.

For more details, see our Benefits page. We may share more during the interview process.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider qualified applicants with arrest and conviction records.

Early Warning Services, LLC is an equal opportunity employer and adheres to applicable laws in hiring and employment practices.