Sr. Associate, Business Control and Risk Management-IT Cloud Control Tester

• Recognized as a subject matter expert (especially in cloud) by advising and guiding enterprise-wide initiative such as control assessments, risk assessments, validation of remediation of issues, and other special projects as assigned.


• Drives projects to implement the necessary changes to IT procedures and processes in order to align the Technology to the organization's OCC's practice standards.


• Analyzes, evaluates, and provides strategic guidance and direction for programs, policies, and procedures to ensure alignment with regulatory requirements and acceptable risk mitigation practices.


• Acts as a liaison with Risk and Compliance teams or Second Line of Defense to develop and implement new standard requests/revisions, to complete all line of business-related risk assessments, risk mandates, continuity plans, resolution plans, and execution.


• Supports Business Unit team members in the resolution of risk related issues.


• Identifies gaps in risk and controls, proposes solutions, and implements corrective actions.


• Performs control assessments as part of the First Line of Defense across all of Technology by determining the design and operating effectiveness of controls in accordance with standards and regulatory requirements.


• Provide management with regular reporting of program progress and risks.


• Effectively partners with Technology management/leader to mitigate risk.


• Manages complex process evaluations across single or varied lines of business.

• Bachelor's Degree: Statistics, Risk Management, Information Systems, Finance, or equivalent field or equivalent work experience

• 5+ years Risk Management, Internal Controls, Auditing, Credit Management, relevant line of business experience and/or legal or regulatory experience.


• 3+ years testing technical controls and evaluation of technical evidence/data, including cloud (AWS)

• Must have experience testing cloud hosted applications or platforms.


• Must be able to work with minimal supervision and deliver assignments on schedule.


• Must be able to work in fast paced environment.


• Prior experience with Cyber-risk assessment / Cyber security assessment / Penetration testing / Network Devices (firewalls/IDS-IPDS) / IT Tools .


• Strong knowledge and understanding of risk and control methodology including frameworks such as the COSO and COBIT frameworks.


• Develop and document test procedures and/or document recommendations for test plan modifications that improve validation of control objectives. Test procedure development may cover a wide range of technically diverse topics ranging from IP Network Discovery, access management, network security/operation, vulnerability management, Information Security, SDLC, Backup and others.


• Data analysis skills and ability to develop scripts or complex Excel formulas to gather and analyze data required for control assessment. Automate testing procedures where possible.


• Perform multi-platform (application, database, operating system, middleware, monitoring tools, and business processes) level testing. Obtain, review, and interpret evidence provided to validate controls are performed effectively and identify vulnerabilities, gaps, or control deficiencies. Identify risks associated with control failures and supports the identification of mitigating controls.


• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations.


• Ability to accurately document control testing results in sufficient details.


• Ability to build credibility with, collaborate with, and influence Technology management/leadership


• Excellent analytical and complex problem-solving skills.


• Superior project management skills.


• Ability to constructively work both independently and in collaborative environments involving all levels of management and employees


• Advanced understanding of the regulatory environment and how the risks of the products and services the bank offers are viewed by the Second Line of Defense and regulators.


• Demonstrated judgement in escalation, ensuring risk-based clear line of sight for senior executives into existing and emerging issues/incidents.


• Ability to constructively work both independently and in collaborative environments


• Ability to collaborate with internal and external service providers to establish resource requirements, scheduling, assignments and service levels

• Preferred Professional Certification such as CRISC, CISA, CISSP

• Improves relationships between key individuals to achieve seamless cross-team work flow and positively impact results.


• Uses informal networks to gain support for ideas and projects.

• Brings out the best in each team member by consistently motivating and acknowledging peer contributions.


• Understands and leverages team dynamics.

• Fully accountable for timeliness, completeness, quality of projects, processes, products and services.


• Remains calm and focused on goals while facing pressures, obstacles or short-term setbacks.

• Ensures people receive the information they require, and brings the team together to share information.

• Effectively conveys difficult or complex information in an easy to understand manner, by providing the big picture and illustrating important linkages.


• Asks open-ended questions that encourage others to give their points of view.

• Keeps up -to-date with external market events, pressures and regulations which may impact the organization and assesses whether similar issues exist in the organization.


• Can identify functional and organizational implications associated with major trends.


• Designs solutions to address industry activities that impact the organization.

• Monitors adherence to policies, regulations, processes and procedures within function and actively undertakes corrective action where necessary.


• Understands end to end processes across the organization and how processes are integrated.


• Has a practical knowledge of regulations impacting area supported.

• Ensures that all directs and colleagues have appropriate knowledge of risk and the regulatory environment.


• Investigates and identifies the root cause and corrects items deemed non-compliant, regardless of pressures from business or management.