Manage the process for remediation of compliance and audit gaps to ensure certification, re-certification, and compliance to adopted standards and achievement of audit issue closure targets
Implement the Audit Issue Management Framework focused on embedding guidelines for effective exit meetings, root cause analysis for findings, corrective action and remediation planning & timing, accountability and tracking closure of audit issues
Be the main liaison, facilitate logistic and communications for third parties (consultants, external auditors, and assessors) involved in compliance reviews, audits and assessments of the Bank’s technology platforms and operations
Support IT and Operations teams in implementing best practices for effective and timely remediation of audit and compliance gaps
Coordinate with other assurance functions (Internal Audit, Risk Management, Compliance and Fraud) in tracking risk factors that can result in non-compliance and audit gaps across IT and operations
Identify pervasive root causes driving non-compliance and audit gaps as well as emerging trends and advice on the changes required to policies, processes, and SOPs and/or adopted standards across the Banks’ technologies and operations
Monitor and coordinate IT and operations compliance activities to remain abreast of the status of all compliance activities on a continuing basis, taking appropriate steps to improve its effectiveness and identify trends
Provide timely progress reports for assigned tasks/projects and support the monthly, quarterly, and annual management and Board level reporting
Develop and maintain the annual schedule for compliance reviews, audits and assessment and perform the logistical planning
Works with the Digital Training team to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all staff and managers
Manage immediate reports to ensure unit objectives and KPIs are met in a timely manner.
Perform any other duty as assigned by the supervisor